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Lecture Notes on

Constitutive Material Models

Dr.Ing. Jens-Uwe Bohrnsen


and

Muhammad Zahid
and

Reza Kebriaei
Institute of Applied Mechanics
Spielmannstr. 11
38106 Braunschweig
www.infam.tu-braunschweig.de

May 2010

Contents
1 Introduction and mathematical preliminaries

1.1

Vectors and matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.2

Indicial Notation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.3

Rules for matrices and vectors . . . . . . . . . . . . . . . . . . . . . . . . .

1.4

Coordinate transformation . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.5

Tensors

1.6

Scalar, vector and tensor fields . . . . . . . . . . . . . . . . . . . . . . . . . 11

1.7

Divergence theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

1.8

Summary of chapter 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

1.9

Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.10 Summary of chapter 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19


1.11 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
2 Foundation of Solid Mechanics
2.1

2.2

26

Stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.1.1

Components of Stress . . . . . . . . . . . . . . . . . . . . . . . . . . 26

2.1.2

Stress on a normal plane . . . . . . . . . . . . . . . . . . . . . . . . 27

2.1.3

Principal stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

2.1.4

Stress invariants and special stress tensors . . . . . . . . . . . . . . 28

Equilibrium . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.2.1

Physical principles . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
I

2.3

2.4

2.5

Deformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.3.1

Position vector and displacement vector . . . . . . . . . . . . . . . 31

2.3.2

Strain tensor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

2.3.3

Linear theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

2.3.4

Properties of the strain tensor . . . . . . . . . . . . . . . . . . . . . 35

2.3.5

Compatibility equations for linear strain . . . . . . . . . . . . . . . 37

Material behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
2.4.1

Uniaxial behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

2.4.2

Generalized Hookes law . . . . . . . . . . . . . . . . . . . . . . . . 39

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
2.5.1

Stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

2.5.2

Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

2.5.3

Deformations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

2.5.4

Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

2.5.5

Material behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

2.5.6

Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

3 Foundation of Constitutive Material Models

54

3.1

The Stress Plane . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

3.2

Dilation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

3.3

Linear hyper-elasticity - Anisotropy . . . . . . . . . . . . . . . . . . . . . . 59

3.4

Viscoelasticity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

3.5

3.6

3.4.1

Rheological Models . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

3.4.2

Maxwell Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

Plasticity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
3.5.1

Phenomenological aspects . . . . . . . . . . . . . . . . . . . . . . . 63

3.5.2

Basic theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

3.5.3

Classical theory of plasticity . . . . . . . . . . . . . . . . . . . . . . 67

Hardening, softening and failure . . . . . . . . . . . . . . . . . . . . . . . . 70


3.6.1

Frequently used failure and yield criteria . . . . . . . . . . . . . . . 71

3.6.2

Consistency condition for strain hardening materials


II

. . . . . . . . 76

4 Linear Elasticity and Failure Criteria for Concrete

79

4.1

Constitutive Modelling of Concrete . . . . . . . . . . . . . . . . . . . . . . 79

4.2

Mechanical Behaviour of Concrete . . . . . . . . . . . . . . . . . . . . . . . 80

4.3

4.4

4.2.1

Linear Elasticity . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80

4.2.2

Nonlinear Elasticity . . . . . . . . . . . . . . . . . . . . . . . . . . 80

4.2.3

Linear Perfectly Plastic . . . . . . . . . . . . . . . . . . . . . . . . . 81

Failure Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
4.3.1

OneParameter Model . . . . . . . . . . . . . . . . . . . . . . . . . 82

4.3.2

TwoParameter Model . . . . . . . . . . . . . . . . . . . . . . . . . 84

Reinforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
4.4.1

Reinforcing Steel . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

4.4.2

Interaction of Concrete and Reinforcement . . . . . . . . . . . . . . 89

5 Soil and Geomechanics


5.1

5.2

95

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
5.1.1

Effective Stresses . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95

5.1.2

Total Stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

Mechanical Behaviour of Soils . . . . . . . . . . . . . . . . . . . . . . . . . 97


5.2.1

The Nature of Soils and other Porous Media . . . . . . . . . . . . . 98

5.2.2

Common Soil Tests . . . . . . . . . . . . . . . . . . . . . . . . . . . 101

5.2.3

Stress Path . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

5.3

Failure Criteria of Soils and Bulk Solids . . . . . . . . . . . . . . . . . . . . 111

5.4

Material Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112


5.4.1

Rate Dependent Model for cohesionless Soil and Bulk Solids . . . . 112

5.4.2

Theory of Porous Media, TPM . . . . . . . . . . . . . . . . . . . . 115


III

6 Theory of Metal Plasticity

125

6.1

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

6.2

Uniaxial Plasticity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

6.3

Yield Criteria and Hardening of Metals . . . . . . . . . . . . . . . . . . . . 125

6.4

6.5

6.6

6.3.1

Tresca Maximum Shear Stress Criterion . . . . . . . . . . . . . . . 126

6.3.2

Von Mises Criterion . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

6.3.3

Hardening Rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

6.3.4

Isotropic Hardening . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

6.3.5

Kinematic Hardening . . . . . . . . . . . . . . . . . . . . . . . . . . 129

6.3.6

Generalised Hardening . . . . . . . . . . . . . . . . . . . . . . . . . 131

Ductility and Fracture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132


6.4.1

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132

6.4.2

Ductile Fracture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133

6.4.3

Brittle fracture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

6.4.4

Impact energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137

Constitutive Model for the Plasticity of Metals . . . . . . . . . . . . . . . . 139


6.5.1

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139

6.5.2

Mechanisms on the Microscale . . . . . . . . . . . . . . . . . . . . . 140

6.5.3

Simulation of the Development of Dislocation Structures . . . . . . 141

6.5.4

Stochastic Constitutive Model . . . . . . . . . . . . . . . . . . . . . 143

Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147

7 Fluid aspect in Constitutive Material Modeling

150

7.1

Fluid Flows and their Significance . . . . . . . . . . . . . . . . . . . . . . . 150

7.2

Solids and Fluids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153

7.3

Basic Equations of Fluid Mechanics . . . . . . . . . . . . . . . . . . . . . . 155


7.3.1

Mass Conservation (Continuity Equation) . . . . . . . . . . . . . . 155

7.3.2

Newtons Second Law

7.3.3

The NavierStokes Equations

. . . . . . . . . . . . . . . . . . . . . . . . 156

IV

. . . . . . . . . . . . . . . . . . . 156

7.4

7.5

7.3.4

Mechanical Energy Equation . . . . . . . . . . . . . . . . . . . . . . 161

7.3.5

Thermal Energy Equation . . . . . . . . . . . . . . . . . . . . . . . 161

Energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
7.4.1

Turbine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163

7.4.2

Theory of Operation . . . . . . . . . . . . . . . . . . . . . . . . . . 163

FluidStructure Interaction . . . . . . . . . . . . . . . . . . . . . . . . . . 169


7.5.1

Basic Idea

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170

1 Introduction and mathematical


preliminaries
1.1

Vectors and matrices

A vector is a directed line segment. In a cartesian coordinate system it looks as it


is depicted in figure 1.1,
x3

z
az

a3

P
a

a
y
ez

ay

x2
e3

a2

ey

e2

ex

e1
ax

a1

x1

Figure 1.1: Vector in a cartesian coordinate system. [29]

e.g., it can mean the location of a point P or a force. So a vector connects direction
and norm of a quantity. For representation in a coordinate system unit basis vectors
ex , ey and ez are used with |ex | = |ey | = |ez | = 1.
| | denotes the norm, i. e., the length.
Now the vector a is
a = ax ex + ay ey + az ez
1

(1.1)

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES


with the coordinates (ax , ay , az ) = values/length in the direction of the basis vectors/coordinate direction.
In continuum mechanics, it is more common to denote the axis with e1 , e2 and e3
a = a1 e1 + a2 e2 + a3 e3

(1.2)

Following are the different representations of a vector:



a1

a = a2 = (a1 , a2 , a3 )
a3

(1.3)

with the length/norm (Euclidian norm)


|a| =

a21 + a22 + a23 .

A matrix is a collection of several numbers

A11 A12 A13

A21 A22 A23


A=
..
.
Am1 Am2 Am3

(1.4)

. . . A1n

. . . A2n
..
...

.
. . . Amn

(1.5)

with n columns and m rows, i.e., an (m n) matrix. In the following mostly


quadratic(square) matrices, n m, are used.
A vector is a one column matrix.
The graphical representation, as for a vector, is not possible. However, a physical
interpretation is often given, then tensors are introduced.
Special cases:
Zero vector or matrix: all elements are zero, e.g., a =

0
0
0

and A =

0 0 0
0 0 0
0 0 0

Symmetric matrix A = AT with AT is the transposed matrix, i.e., all elements


at the same place above and below the main diagonal are identical, e.g., A =
1 5 4
5 2 6
4 6 3

1.2. INDICIAL NOTATION

1.2

Indicial Notation

Indicial notation is a convenient notation in mechanics for vectors and matrices/tensors.


Letter indices as subscripts are appended to the generic letter representing the tensor
quantity of interest. Using a coordinate system with (e1 , e2 , e3 ) the components of
a vector a are ai (eq. 1.7) and of a matrix A are Aij with i = 1, 2, . . . , m and j =
1, 2, . . . , n (eq. 1.6). When an index appears twice in a term, that index is understood
to take on all the values of its range, and the resulting terms summed. In this so-called
Einstein summation, repeated indices are often referred to as dummy indices, since their
replacement by any other letter not appearing as a free index does not change the meaning
of the term in which they occur. In ordinary physical space, the range of the indices is
1, 2, 3.
m

Aii =

Aii = A11 + A22 + A33 + . . . + Amm

(1.6)

i=1

and
ai bi = a1 b1 + a2 b2 + . . . + am bm .

(1.7)

However, it is not summed up in an addition or subtraction symbol, i.e., if ai +bi or ai bi .


Aij bj

=Ai1 b1 + Ai2 b2 + . . . + Aik bk

(1.8)

free dummy

Further notation:

ai = a1 a2 a3

(1.9)

i=1

ai
= ai,j
xj

with

ai,i =

a1 a2
+
+ ...
x1 x2

(1.10)

or
Aij
Ai1 Ai2
=
+
+ . . . = Aij,j
xj
x1
x2
This is sometimes called comma convention!

(1.11)

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES

1.3

Rules for matrices and vectors

Addition and subtraction


AB=C

Cij = Aij Bij

(1.12)

component by component, vector similar.


Multiplication
Vector with vector
Scalar (inner) product:
c = a b = ai b i

(1.13)

a2 b3 a3 b2
e1 e2 e3

c = a b = a1 a2 a3 = a3 b1 a1 b3
a1 b2 a2 b1
b1 b2 b3

(1.14)

Cross (outer) product:

Cross product is not commutative.


Using indical notation
ci = ijk aj bk
with permutations symbol / alternating tensor

1
i, j, k even permutation (e.g. 231)

1 i, j, k odd permutation (e.g. 321)


ijk =
.

0
i,
j,
k
no
permutation,
i.e.

two or more indices have the same value

(1.15)

(1.16)

Dyadic product:
C=ab

(1.17)

Matrix with matrix Inner product:


C = AB

(1.18)

Cik = Aij Bjk

(1.19)

Inner product of two matrices can be done with Falk scheme (fig. 1.2(a)). To
get one component Cij of C, you have to do a scalar product of two vectors ai

1.3. RULES FOR MATRICES AND VECTORS

and bj , which are marked in figure 1.2 with a dotted line. It is also valid for
the special case of onecolumn matrix (vector) (fig. 1.2(b))
c = Ab

ci = Aij bj .

Bij

Aij

(1.20)

bj

Cij

Aij

(a) Product of matrix with matrix

ci

(b) Product of matrix with vector

Figure 1.2: Falk scheme. [29]


Remarks on special matrices:
Permutation symbol (see 1.16)
1
ijk = (i j)(j k)(k i)
2

(1.21)

Kronecker delta
ij

1 if i = j
=
0 if i = j

(1.22)

so
ij

0 0
0 0
0 0

for i, j = 1, 2, 3

ij ai = aj

ij Djk = Dik

(1.23)

(1.24)

Product of two unit vectors


ei ej = ij
Decomposition of a matrix
1
Aij =
(Aij + Aji )
2
Symmetric, Hydrostatic

(orthogonal basis)

1
(Aij Aji )
2
anti-symmetric/skrew symmetric, Shear

(1.25)

(1.26)

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES

1.4

Coordinate transformation

Assumption:
2 coordinate systems in one origin rotated against each other (fig. 1.3).
x3

x3

x2
x2

x1
x1
Figure 1.3: Initial (x1 , x2 , x3 ) and rotated (x1 , x2 , x3 ) axes of transformed coordinate system. [29]
The coordinates can be transformed
x1 = 11 x1 + 12 x2 + 13 x3 = 1j xj

(1.27)

x2 = 2j xj

(1.28)

x3 = 3j xj

(1.29)

xi = ij xj

(1.30)

with the constant (only constant for cartesian system) coefficients


ij = cos(xi , xj ) =
direction cosine

xj
= cos(ei , ej ) = ei ej .
xi

(1.31)

In matrix notation we have


x =

x.

(1.32)

rotation matrix

Rij = xi,j

(1.33)

So the primed coordinates can be expressed as a function of the unprimed ones


xi = xi (xi )

x = x (x).

(1.34)

1.5. TENSORS

If J = |R| does not vanish this transformation possesses a unique inverse


xi = xi (xi )

x = x(x ).

(1.35)

J is called the Jacobian of the transformation.

1.5

Tensors

Definition:
Let E be an Euclidian vector space. A linear mapping:
4A : a A(a)

(1.36)

is a second order tensor. If we speak of a tensor we tacitly mean a second order tensor.
If this is not the case it is explicitly said.
A mapping A is called linear if it is compatible with the two linear structures, i.e.

A(a + b) = A(a) + A(b)

a, b A(a) = a

, a

(1.37)

The set of all tensors on E will be denoted by . The product of two tensors is defined as
the composition of two linear mappings:

A(B(a)) = (AB)(a)

A, B , a

(1.38)

From this follows the statement that the product does not commute, i.e. we have to
consider: AB = BA.
The following rules hold:
comutative
assosiative
distributive

A+B= B+ A
(A)B = (A)B = (AB)
A(B + C) = AB + AC

A,B
, A, B
A, B, C

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES

distributive
zero element
neutral element
of composition

(A + B)C = AB + AC
A0 = 0B = 0

A, B, C
A

AI = IA = A

To simplify notation, it will be assumed in the following that all tensors are element of
, all vectors element of E and all scalars element of .

Further definitions
Due to fact that complicated expressions include different levels of brackets we represent
the linear mapping b = A(a) from now on by means of square brackets: b = A[a].
Transpose of a tensor
Associated with an arbitrary tensor A there is a unique tensor AT , called the transpose
of A, such that:
5a.(AT [b]) = b.(AT [a])

(1.39)

We now replace A by BT and exchange a and b:


5b.((BT )T [a]) = a.(BT [b])

(1.40)

Comparing with above it is immediately understood that:


5(BT )T = B

(1.41)

with composition and comparison of above mapping we can find:


5C = AB CT = BT AT

(1.42)

Symmetric and skew-symmetric tensors


A tensor A is said to be symmetric if
5A = AT
holds. It is called skew-symmetric if it has the property

(1.43)

1.5. TENSORS

5A = AT

(1.44)

1
1
5A = (A + AT ) + (A AT )
2
2

(1.45)

The identity

shows that each tensor can be split uniquely into symmetric (Asym ) and skew-symmetric
(Askw ) parts.
Spherical tensors
A tensor A is said to be spherical if
5A = I

=0

(1.46)

is proportional to the identity tensor I.


Inverse of a tensor
If the linear mapping A is invertible (the inverse of the mapping is denoted by (A)1 we
can state
5AA1 = A1 A = I

(1.47)

The effect of a composition of two inverse mappings can be investigated as:


5(AB)1 = B1 A1

(1.48)

Dyadic product
To an ordered pair of vectors (a; b) there corresponds a tensor, denoted by ab and called
the dyadic product or tensor product of a and b which is defined through its action on
an arbitrary vector c by
5(a b)[c] = (b c)a

(1.49)

The notion tensor product can be easily confused with the notion product of two tensors
so that we will here prefer the term dyadic product. with respekting to the main definition
we will find that:
5(a b)(c d) = (b c)a d
(1.50)

10

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES

and so it yields:
5(c d)(a b) = (d a)c b == (b c)a d = (a b)(c d)

(1.51)

It is now more easily understandable that the product of two tensors, i.e. the compositions
of two linear mappings, is not commutative. In the form of index notation we can show
the tensor A as:
5A = Aij ei ej

(1.52)

Product of two tensor


The product of two tensors C = AB is represented in index notation as:
5C = Aij ei ej = Bkl ek el = Aij Bkl jk ei el = Aij Bjl ei el

(1.53)

Cil

Thus we arrive in matrix notation at the relation:


5C = AB

(1.54)

In index notation we will show the zero tensor and identity tensor as:
50 = 0ij ei ej

5I = Iij ei ej

0ij = 0

(zerotensor)

(identitytesor)

(1.55)

(1.56)

Trace of a Tensor
The trace of a dyadic product is defined as the scalar product of the two vectors:
5tr(a b) = a.b

(1.57)

If we represent a tensor as usual by means of nine dyadic products we obtain the following:

5trA = tr(Aij ei ej ) = Aij tr(ei ej ) = Aij ij = Aii = A11 + A22 + A33

(1.58)

1.6. SCALAR, VECTOR AND TENSOR FIELDS

11

Example
In many material models one differentiates between the so-called deviatoric and the volumetric material response. Accordingly the stress tensor T is split into deviatoric Tdev
and volumetric Tvol parts. This can be done in the following way:
1
1
5T = (T (trT)I) + (trT)I
3
3
Tdev

(1.59)

Tvol

The volumetric part Tvol is a spherical tensor. If the deviatoric part of the stress tensor
vanishes (which is for instance the case for many fluids) we have a hydrostatic stress state.
Tvol is often represented in terms of the pressure p:

5Tvol = pI

(1.60)

Thus the trace operation is e.g. needed to carry out the above described split. The trace
of the deviatoric part vanishes. To show that we first determine the trace of the identity
tensor:

5trI = tr(ei ej ) = 3

(1.61)

The trace of Tdev is computed with:


1
1
5Tdev = tr(T (trT)I) = trT (trT) trI = 0
3
3

(1.62)

1.6

Scalar, vector and tensor fields

A tensor field assigns a tensor T(x, t) to every pair (x, t) where the position vector x
varies over a particular region of space and t varies over a particular interval of time. The
tensor field is said to be continuous (or differentiable) if the components of T(x, t) are
continuous (or differentiable) functions of x and t. If the tensor T does not depend on
time the tensor field is said to be steady (T(x)).

12

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES


1. Scalar field:
2. Vector field:
3. Tensor field:

= (xi , t)
vi = vi (xi , t)
Tij = Tij (xi , t)

= (x, t)
v = v(x, t)
T = T(x, t)

Introduction of the differential operator : It is a vector called del or NablaOperator,


defined by
= ei

xi

2 =

and

==

Laplacian operator

.
xi xi

(1.63)

A few differential operators on vectors or scalar:

grad =

= ,i ei

div v = v = vi,i
curl v = v = ijk vk,j

(result: vector)

(1.64)

(result: scalar)

(1.65)

(result: vector)

(1.66)

Similar rules are available for tensors/vectors.


Gradient of a tensor field
The gradient of the tensor field T(x) is computed with:
5gradT(x) =

Tij
T(x)
ei ej ek =
xk
x

(1.67)

The gradient gradT is a third order tensor. As such its basis is represented by the dyadic
product of three vectors. We also introduce the abbreviation
5gradT = Tij,k ei ej ek

(1.68)

Divergence of a tensor field


To determine the divergence of a tensor field we have the definition:
5divT(x) = Tji,j (x)ei
Example
The divergence of a tensor occurs for example in the balance of linear momentum

(1.69)

1.6. SCALAR, VECTOR AND TENSOR FIELDS

13

Figure 1.4: Infinitesimal Volume Element

5divT(x) + f = 0

(1.70)

where T denotes the stress tensor and f a volume force. The derivation of the latter
equation can be carried out as follows. Consider the infinitesimal volume element plotted
in Figure 1.4.
The equilibrium conditions in x1 , x2 and x3 -direction read:

T11
dx1 dx2 dx3 +
x1
T12
dx1 dx2 dx3 +
x1
T13
dx1 dx2 dx3 +
x1

T21
dx1 dx2 dx3 +
x2
T22
dx1 dx2 dx3 +
x2
T23
dx1 dx2 dx3 +
x2

T31
dx1 dx2 dx3 + f1 dx1 dx2 dx3 = 0
x3
T32
dx1 dx2 dx3 + f2 dx1 dx2 dx3 = 0
x3
T33
dx1 dx2 dx3 + f3 dx1 dx2 dx3 = 0
x3

(1.71)
(1.72)
(1.73)

The latter three equations can be also expressed as:

5Tji,j + fi = 0
Multiplying each equation with ei and summing them up yields the relation 1.67.

(1.74)

14

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES

1.7

Divergence theorem

For a domain V with boundary A the following integral transformation holds for a firstorder tensor g

(1.75)

gi ni dA

(1.76)

ji nj dA

(1.77)

ndA.

(1.78)

n gdA

gdV =

divgdV =

gi,i dV =
V

and for a second-order tensor


ji,j dV =
V

divdV =
V

dV =

Here, n = ni ei denotes the outward normal vector to the boundary A.

1.8

Summary of chapter 1

Vectors




0
0
1
a1




a = a2 = a1 e1 + a2 e2 + a3 e3 = a1 0 + a2 1 + a3 0
1
0
0
a3
Magnitude of a:
|a| =

a21 + a22 + a23

is the length of a

Vector addition:

a1
b1
a1 + b 1

a2 + b 2 = a2 + b 2
a3
b3
a3 + b 3

1.8. SUMMARY OF CHAPTER 1

15

Multiplication with a scalar:


a1
c a1

c a2 = c a2
a3
c a3

Scalar (inner, dot) product:


a b = |a||b| cos = a1 b1 + a2 b2 + a3 b3

Vector (outer, cross) product:

a2 b3 a3 b2
e1 e3 e3
a1 a2
a1 a3
a2 a3

a b = a1 a2 a3 = e1
= a3 b1 a1 b3
+ e3
e2
b1 b2
b1 b3
b2 b3
a1 b2 a2 b1
b1 b2 b3
Rules for the vector product:
a b = (b a)
(c a) b = a (c b) = c(a b)
(a + b) c = a c + b c
a (b c) = (a c) b (a b) c

Matrices

A11

A21
A=
..
.

A12
A22
..
.

A13
A23
..
.

... A1n

... A2n
..
= Aik
.

Am1 Am2 Am3 ... Amn

Multiplication of a matrix with a scalar:

c A = A c = c Aik

e.g.: c

A11 A12
A21 A22

c A11 c A12
c A21 c A22

16

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES

Addition of two matrices:


A + B = B + A = (Aik ) + (Bik ) = (Aik + Bik )
e.g.:
A11 A12
A21 A22

B11 B12
B21 B22

A11 + B11 A12 + B12


A21 + B21 A22 + B22

Rules for addition of matrices:


(A + B) + C = A + (B + C) = A + B + C
Multiplication of two matrices:
l

Cik = Ai1 B1k + Ai2 B2k + ... + Ail Blk =

Aij Bjk

i = 1, ..., m k = 1, ..., n

j=1

B11
B21

B12
B22

e.g.:
A11 A12
A21 A22

A11 B11 + A12 B12 A11 B12 + A12 B22


A21 B11 + A22 B21 A21 B12 + A22 B22

Rules for multiplication of two matrices:


A(BC) = (AB)C = ABC
AB = BA
Distributive law:
(A + B) C = A C + B C

Differential operators for vector analysis


Gradient of a scalar field f (x, y, z)
f (x

1 ,x2 ,x3 )

1 ,x2 ,x3 )
grad f (x1 , x2 , x3 ) = f (xx

f (x1 ,x2 ,x3 )


x3

Derivative into a certain direction:


f
a
(x1 , x2 , x3 ) =
grad f (x1 , x2 , x3 )
a
|a|

1.8. SUMMARY OF CHAPTER 1

17

Divergence of a vector field


div v(X(x1 , x2 , x3 ), Y (x1 , x2 , x3 ), Z(x1 , x2 , x3 )) =

X
Y
Z
+
+
x1 x2 x3

Curl of a vector field

curl v(X(x1 , x2 , x3 ), Y (x1 , x2 , x3 ), Z(x1 , x2 , x3 )) =

Z
x
X2
x3
Y
x1

Nabla (del) Operator

x1

x2

x3

f
x

f1
f (x1 , x2 , x3 ) = x
= grad f (x1 , x2 , x3 )
2
f
x3

v(X(x1 , x2 , x3 ), Y (x1 , x2 , x3 ), Z(x1 , x2 , x3 )) =

v =

e1

e2

e3

x1

x2

x3

X
x1

Y
x2

Z
x3

= div v

= curl v

Laplacian operator
u = = div grad u =

2u 2u 2u
+
+
x21 x22 x23

Indical Notation Summation convention


A subscript appearing twice is summed from 1 to 3.
e.g.:
3

ai b i =

ai bi
i=1

= a1 b 1 + a2 b 2 + a3 b 3
Djj = D11 + D22 + D33

Y
x3
Z
x1
X
x2

18

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES

Comma-subscript convention
The partial derivative with respect to the variable xi is represented by the so-called
comma-subscript convention e.g.:

xi
vi
xi
vi
xj
2
vi
xj xk

1.9

= ,i = grad
= vi,i = divv
= vi,j
= vi,jk

Exercises

1. given: scalar field


f (x1 , x2 , x3 ) = 3x1 + x1 ex2 + x1 x2 ex3
(a)
gradf (x1 , x2 , x3 ) =?
(b)
gradf (3, 1, 0) =?
2. given: scalar field
3
f (x1 , x2 , x3 ) = x21 + x22
2
Find the derivative of f in point/position vector

5
2
8

in the direction of a

3. given: vector field

x1 + x22

V = ex1 x3 + sin x2
x1 x2 x3
(a)
divV(X(x1 , x2 , x3 ), Y (x1 , x2 , x3 ), Z(x1 , x2 , x3 )) =?
(b)
divV(1, , 2) =?

3
0
4

1.10. SUMMARY OF CHAPTER 1

19

4. given: vector field

x 1 + x2

V = ex1 +x2 + x3
x3 + sin x1
(a)
curlV(x1 , x2 , x3 ) =?
(b)
curlV(0, 8, 1) =?
5. Expand and, if possible, simplify the expression Dij xi xj for
(a) Dij = Dji
(b) Dij = Dji .
6. Determine the component f2 for the given vector expressions
(a) fi = ci,j bj cj,i bj
(b) fi = Bij fj
7. If r2 = xi xi and f (r) is an arbitrary function of r, show that
(a) (f (r)) =

f (r)x
r

(b) 2 (f (r)) = f (r) +

2f (r)
,
r

where primes denote derivatives with respect to r.

1.10

Summary of chapter 1

Vectors




a1
1
0
0




a = a2 = a1 e1 + a2 e2 + a3 e3 = a1 0 + a2 1 + a3 0
a3
0
0
1
Magnitude of a:
|a| =

a21 + a22 + a23

is the length of a

20

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES

Vector addition:

a1
b1
a1 + b 1

a2 + b 2 = a2 + b 2
a3
b3
a3 + b 3
Multiplication with a scalar:

a1
c a1

c a2 = c a2
a3
c a3
Scalar (inner, dot) product:
a b = |a||b| cos = a1 b1 + a2 b2 + a3 b3

Vector (outer, cross) product:

a2 b 3 a3 b 2
e1 e3 e3
a1 a2
a1 a3
a2 a3

= a3 b 1 a1 b 3
+ e3
e2
a b = a1 a2 a3 = e 1
b1 b2
b1 b 3
b2 b3
a1 b 2 a2 b 1
b1 b2 b3
Rules for the vector product:
a b = (b a)
(c a) b = a (c b) = c(a b)
(a + b) c = a c + b c
a (b c) = (a c) b (a b) c

Matrices

A11

A21
A=
..
.

A12
A22
..
.

A13
A23
..
.

Am1 Am2 Am3

... A1n

... A2n
..
= Aik
.
... Amn

1.10. SUMMARY OF CHAPTER 1

21

Multiplication of a matrix with a scalar:

c A = A c = c Aik

A11 A12
A21 A22

e.g.: c

c A11 c A12
c A21 c A22

Addition of two matrices:


A + B = B + A = (Aik ) + (Bik ) = (Aik + Bik )
e.g.:
A11 A12
A21 A22

B11 B12
B21 B22

A11 + B11 A12 + B12


A21 + B21 A22 + B22

Rules for addition of matrices:


(A + B) + C = A + (B + C) = A + B + C

Multiplication of two matrices:


l

Cik = Ai1 B1k + Ai2 B2k + ... + Ail Blk =

Aij Bjk

i = 1, ..., m k = 1, ..., n

j=1

B11
B21

B12
B22

e.g.:
A11 A12
A21 A22

A11 B11 + A12 B12 A11 B12 + A12 B22


A21 B11 + A22 B21 A21 B12 + A22 B22

Rules for multiplication of two matrices:


A(BC) = (AB)C = ABC
AB = BA
Distributive law:
(A + B) C = A C + B C

22

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES

Differential operators for vector analysis


Gradient of a scalar field f (x, y, z)
f (x
grad f (x1 , x2 , x3 ) =

1 ,x2 ,x3 )
x1
f (x1 ,x2 ,x3 )

x2
f (x1 ,x2 ,x3 )
x3

Derivative into a certain direction:


a
f
(x1 , x2 , x3 ) =
grad f (x1 , x2 , x3 )
a
|a|
Divergence of a vector field
div v(X(x1 , x2 , x3 ), Y (x1 , x2 , x3 ), Z(x1 , x2 , x3 )) =

X
Y
Z
+
+
x1 x2 x3

Curl of a vector field

curl v(X(x1 , x2 , x3 ), Y (x1 , x2 , x3 ), Z(x1 , x2 , x3 )) =

Z
x2
X
x3
Y
x1

Nabla (del) Operator

x1

x2

x3

f
x

f1
f (x1 , x2 , x3 ) = x
= grad f (x1 , x2 , x3 )
2
f
x3

v(X(x1 , x2 , x3 ), Y (x1 , x2 , x3 ), Z(x1 , x2 , x3 )) =

v =

e1

e2

e3

x1

x2

x3

= curl v

X
x1

Y
x2

Z
x3

= div v

Y
x3
Z
x1
X
x2

1.11. EXERCISES

23

Laplacian operator
u = = div grad u =

2u 2u 2u
+
+
x21 x22 x23

Indical Notation Summation convention


A subscript appearing twice is summed from 1 to 3.
e.g.:
3

ai b i =

ai bi
i=1

= a1 b 1 + a2 b 2 + a3 b 3
Djj = D11 + D22 + D33
Comma-subscript convention
The partial derivative with respect to the variable xi is represented by the so-called
comma-subscript convention e.g.:

xi
vi
xi
vi
xj
2
vi
xj xk

1.11

= ,i = grad
= vi,i = divv
= vi,j
= vi,jk

Exercises

1. given: scalar field


f (x1 , x2 , x3 ) = 3x1 + x1 ex2 + x1 x2 ex3
(a)
gradf (x1 , x2 , x3 ) =?

24

CHAPTER 1. INTRODUCTION AND MATHEMATICAL PRELIMINARIES


(b)
gradf (3, 1, 0) =?
2. given: scalar field
3
f (x1 , x2 , x3 ) = x21 + x22
2
Find the derivative of f in point/position vector

5
2
8

in the direction of a

3. given: vector field

x1 + x22

V = ex1 x3 + sin x2
x1 x2 x3
(a)
divV(X(x1 , x2 , x3 ), Y (x1 , x2 , x3 ), Z(x1 , x2 , x3 )) =?
(b)
divV(1, , 2) =?
4. given: vector field

x 1 + x2

V = ex1 +x2 + x3
x3 + sin x1

(a)
curlV(x1 , x2 , x3 ) =?
(b)
curlV(0, 8, 1) =?
5. Expand and, if possible, simplify the expression Dij xi xj for
(a) Dij = Dji
(b) Dij = Dji .
6. Determine the component f2 for the given vector expressions
(a) fi = ci,j bj cj,i bj
(b) fi = Bij fj
7. If r2 = xi xi and f (r) is an arbitrary function of r, show that

3
0
4

1.11. EXERCISES
(a) (f (r)) =

25
f (r)x
r

(b) 2 (f (r)) = f (r) +

2f (r)
,
r

where primes denote derivatives with respect to r.

2 Foundation of Solid Mechanics


2.1
2.1.1

Stress
Components of Stress

Assumption:
Cartesian coordinate system with unit vectors ei infinitesimal rectangular parallelepiped;
ti are not parallel to ei whereas the surfaces are perpendicular to the ei , respectively (fig.
2.1). So, all ei represents here the normal ni of the surfaces.
t3

x3
e3
e1

13

e2

11

12

t2

x2
t1

x1

Figure 2.1: Tractions ti and their components ij on the rectangular parallelepiped surfaces of an infinitesimal body. [29]

Each traction is separated in components in each coordinate direction


ti = i1 e1 + i2 e2 + i3 e3

(2.1)

ti = ij ej .

(2.2)

26

2.1. STRESS

27

With these coefficients ij a stress tensor can

11 12

= 21 22
31 32

be defined

13

23 = ij ,
33

(2.3)

with the following signconvention:


1. The first subscript i refers to the normal ei which denotes the face on which ti acts.
2. The second subscript j corresponds to the direction ej in which the stress acts.
3. ii (no summation) are positive (negative) if they produce tension (compression).
They are called normal components or normal stress
ij (i = j) are positive if coordinate direction xj and normal ei are both positive
or negative. If both differ in sign, ij (i = j) is negative. They are called shear
components or shear stress.

2.1.2

Stress on a normal plane

Interest is in the normal and tangential component of tn (fig. 2.2).


n
tn
s
dAn
Figure 2.2: Normal and tangential component of tn . [29]
Normalvector:
n = ni e i
Tangentialvector: s = si ei (two possibilities in 3-D)
Normal component of stress tensor with respect to plane dAn :
nn = tn n = ij ni ej nk ek

(2.4)

= ij ni nk jk = ij nj ni
Tangential component:
ns = tn s = ij ni ej sk ek = ij ni sj

(2.5)

28

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

2.1.3

Principal stress

2.1.3.1

Maximum normal stress

Question: Is there a plane in any body at any particular point where no shear stress
exists?
Answer: Yes

For such a plane the stress tensor must have the form

(1) 0
0

= 0 (2) 0
0
0 (3)

(2.6)

with three independent directions n(k) where the three principal stress components act.
Each plane given by these principal axes n(k) is called principal plane. So, it can be
defined a stress vector acting on each of these planes
t = (k) n

(2.7)

where the tangential stress vector vanishes.

2.1.4

Stress invariants and special stress tensors

In general, the stress tensor at a distinct point differ for different coordinate systems.
However, there are three values, combinations of ij , which are the same in every coordinate system. These are called stress invariants. They can be found as under
!

|ij (k) ij | = ( (k) )3 I1 ( (k) )2 + I2 (k) I3 = 0

(2.8)

I1 = ii = tr
1
I2 = (ii jj ij ij )
2
I3 = |ij | = det

(2.9)

with

(2.10)
(2.11)

2.1. STRESS

29

and represented in principal stresses


I1 = (1) + (2) + (3)

(2.12)

I2 = ( (1) (2) + (2) (3) + (3) (1) )

(2.13)

I3 = (1) (2) (3) ,

(2.14)

the first, second, and third stress invariant is given. The invariance is obvious because
all indices are dummy indices and, therefore, the values are scalars independent of the
coordinate system.
The special case of a stress tensor, e.g., pressure in a fluid,

1 0 0

= 0 0 1 0
ij = 0 ij
0 0 1

(2.15)

is called hydrostatic stress state. If one assumes 0 = 3ii = m of a general stress state,
where m is the mean normal stress state, the deviatoric stress state can be defined

11 m
12
13

S = m I = 12
(2.16)
22 m
23 .
13
23
33 m
In indical notation (I = ij : itendity-matrix (3x3)):
kk
sij = ij ij
3

(2.17)

where kk /3 are the components of the hydrostatic stress tensor and sij the components
of the deviatoric stress tensor.
The principal directions of the deviatoric stress tensor S are the same as those of the
stress tensor because the hydrostatic stress tensor has no principal direction, i.e., any
direction is a principal plane. The first two invariants of the deviatoric stress tensor are
J1 = sii = (11 m ) + (22 m ) + (33 m ) = 0
1
1
J2 = sij sij = [( (1) (2) )2 + ( (2) (3) )2 + ( (3) (1) )2 ],
2
6

(2.18)
(2.19)

where the latter is often used in plasticity.


Remark: The elements on the main diagonal of the deviatoric stress tensor are mostly
not zero, contrary to the trace of deviatoric stress S, which is per definition equal zero
tr(S) = 0.

30

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

2.2

Equilibrium

2.2.1

Physical principles

Consider an arbitrary body V with boundary A (surface) (fig. 2.3).


t
x3

P
r

x2

x1
Figure 2.3: Body V under loading f with traction t acting normal to the boundary of the
body. [29]
In a 3-d body the following 2 axioms are given:
1. The principle of linear momentum is
f dV +
V

t dA =
A

d2
u dV
dt2

(2.20)

with displacement vector u and density .


2. The principle of angular momentum (moment of momentum)
(r f ) dV +
V

(r t) dA =
A

(r
u) dV

(2.21)

Considering the position vector r to point P (x)


r = xj e j

(2.22)

r f = ijk xj fk ei

(2.23)

r t = ijk xj tk ei

(2.24)

and further

2.3. DEFORMATION

31

The two principles, (2.20) and (2.21), are in indical notation


fi dV +
V

ji nj dA =
A

ui dV

d2
note, that () = 2 ()
dt

(2.25)

ijk xj uk dV,

(2.26)

ijk xj lk nl dA =

ijk xj fk dV +

where the Cauchy theorem has been used. In the static case, the inertia terms on the
right hand side, vanish.

2.3
2.3.1

Deformation
Position vector and displacement vector

Consider the undeformed and the deformed configuration of an elastic body at time t = 0
and t = t, respectively (fig. 2.4).
deformed
undeformed
x3 X 3

P (x)

p(X)

x2 X 2
x

X
t=0

t=t

x1 X 1
Figure 2.4: Deformation of an elastic body. [29]
It is convenient to designate two sets of Cartesian coordinates x and X, called material
(initial) coordinates and spatial (final) coordinates, respectively, that denote the undeformed and deformed position of the body. Now, the location of a point can be given in
material coordinates (Lagrangian description)
P = P(x, t)

(2.27)

and in spatial coordinates (Eulerian description)


p = p(X, t).

(2.28)

32

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

Mostly, in solid mechanics the material coordinates and in fluid mechanics the spatial
coordinates are used. In general, every point is given in both
X = X(x, t)

(2.29)

x = x(X, t)

(2.30)

or

where the mapping from one system to the other is given if the Jacobian
J=

Xi
= |Xi,j |
xj

(2.31)

exists.
So, a distance differential is
dXi =

Xi
dx
xj j

(2.32)

where ( ) denotes a fixed but free distance. From figure 3.1 it is obvious to define the
displacement vector by
u=Xx

u i = X i xi .

(2.33)

Remark: The Lagrangian or material formulation describes the movement of a particle,


where the Eulerian or spatial formulation describes the particle moving at a location.

2.3.2

Strain tensor

Consider two neighboring points p(X) and q(X) or P (x) and Q(x) (fig. 2.5) in both
configurations (undeformed/deformed)
x3 X 3

Q(x + dx)

x2 X 2

u + du

ds
P (x)

q(X + dX)
dS
p(X)

x1 X 1
Figure 2.5: Deformation of two neighboring points of a body. [29]

2.3. DEFORMATION

33

which are separated by differential distances ds and dS, respectively. The squared length
of them is given by
|ds|2 = dxi dxi
(2.34)
|dS|2 = dXi dXi .

(2.35)

With the Jacobian of the mapping from one coordinate representation to the other these
distances can be expressed by
|ds|2 = dxi dxi =

xi xi
dXj dXk
Xj Xk

(2.36)

Xi Xi
dxj dxk .
xj xk

(2.37)

|dS|2 = dXi dXi =

To define the strain we want to express the relative change of the distance between the
point P and Q in the undeformed and deformed body. From figure 2.5 it is obvious that
ds + u + du dS u = 0
du = dS ds.

(2.38)

Taking the squared distances in material coordinates yield to


|dS|2 |ds|2 = Xi,j Xi,k dxj dxk dxi dxi
= (Xi,j Xi,k jk ) dxj dxk

(2.39)

L
=2jk

with the Green or Lagrangian strain tensor Ljk , or in spatial coordinates


|dS|2 |ds|2 = dXi dXi

xi xi
dXj dXk
Xj Xk

= (jk xi,j xi,k ) dXj dXk

(2.40)

E
=2jk

with the Euler or Almansi strain tensor E


jk . Taking into account that

or

ui
Xi
xi
=

= Xi,k ik
xk
xk
xk

Xi,k = ui,k + ik

(2.41)

ui
Xi
xi
=

= ik xi,k
Xk
Xk Xk

xi,k = ik ui,k

(2.42)

34

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

the Green strain tensor is


1
Ljk = [(ui,j + ij )(ui,k + ik ) jk ]
2
1
= [ui,j ui,k + ui,j ik + ij ui,k + jk jk ]
2
1
= [uk,j + uj,k + ui,j ui,k ]
2
ui
with ui,j :=
Xj

(2.43)

and the Almansi tensor is


1
E
jk = [jk (ij ui,j )(ik ui,k )]
2
1
= [uk,j + uj,k ui,j ui,k ]
2
ui
with ui,j :=
.
xj

2.3.3

(2.44)

Linear theory

If small displacement gradients are assumed, i.e.


ui,j uk,l

ui,j

(2.45)

the strain tensors of both configurations are equal.


1
ij = Lij = E
ij = (ui,j + uj,i )
2

(2.46)

ij is called linear or infinitesimal strain tensor. This is equivalent to the assumption of


small unit extensions 2
, yielding
2(e) = 2eT EL e = 2eT EE e .

(2.47)

With both assumptions the linear theory is established and no distinction between the
configurations respective coordinate system is necessary. The components on the main
diagonal are called normal strain and all other are the shear strains. The shear strains
here
1
1
ij = (ui,j + uj,i ) = ij
(2.48)
2
2

2.3. DEFORMATION

35

are equal to onehalf of the familiar engineering shear strains ij . However, only with
the definitions above the strain tensor

11 12 13

= 12 22 23
(2.49)
13 23 33
has tensor properties. By the definition of the strains the symmetry of the strain tensor
is obvious.

2.3.4

Properties of the strain tensor

2.3.4.1

Principal strain

Besides the general tensor properties (transformation rules) the strain tensor has as the
stress tensor principal axes. The principal strains (k) are determined from the characteristic equation
|ij (k) ij | = 0

k = 1, 2, 3

(2.50)

analogous to the stress. The three eigenvalues (k) are the principal strains. The corresponding eigenvectors designate the direction associated with each of the principal strains
given by
(k)

(ij (k) ij )ni

=0

(2.51)

These directions n(k) for each principal strain (k) are mutually perpendicular and, for
isotropic elastic materials, coincide with the direction of the principal stresses.

2.3.4.2

Volume and shape changes

It is sometimes convenient to separate the components of strain into those that cause
changes in the volume and those that cause changes in the shape of a differential element.
Consider a volume element V (a b c) oriented with the principal directions (fig. 2.6),
then the principal strains are
(1) =

a
a

(2) =

b
b

(3) =

c
c

under the assumption of volume change in all three directions.

(2.52)

36

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

c
1

a
Figure 2.6: Volume V oriented with the principal directions. [29]
The volume change can be calculated by
V + V = (a + a)(b + b)(c + c)
= abc 1 +

a b c
+
+
a
b
c

+ O(2 )

(2.53)

= V + ((1) + (2) + (3) )V + O(2 ).


With the assumptions of small changes , finally,
V
= (1) + (2) + (3) = ii
V

(2.54)

and is called Dilation. Obviously, from the calculation this is a simple volume change
without any shear. It is valid for any coordinate system. The Dilation is also the first
invariant of the strain tensor, and also equal to the divergence of the displacement vector:
u = ui,i = ii

(2.55)

Analogous to the stress tensor, the strain tensor can be divided in a hydrostatic part

M 0
0
ii

(2.56)
M = 0 M 0
M =
3
0
0 M
and a deviatoric part

11 M
12
13

D = 12
22 M
23 .
13
23
33 M

(2.57)

The mean normal strain M corresponds to a state of equal elongation in all directions
for an element at a given point. The element would remain similar to the original shape

2.3. DEFORMATION

37

but changes volume. The deviatoric strain characterizes a change in shape of an element
with no change in volume. This can be seen by calculating the Dilation of D :
trD = (11 M ) + (22 M ) + (33 M ) = 0

2.3.5

(2.58)

Compatibility equations for linear strain

If the strain components ij are given explicitly as functions of the coordinates, the six
independent equations (symmetry of )
1
ij = (ui,j + uj,i )
2
are six equations to determine the three displacement components ui . The system is
overdetermined and will not, in general, possess a solution for an arbitrary choice of the
strain components ij . Therefore, if the displacement components ui are singlevalued and
continuous, some conditions must be imposed upon the strain components. The necessary
and sufficient conditions for such a displacement field are expressed by the equations
ij,km + km,ij ik,jm jm,ik = 0.
These are 81 equations in all but only six are distinct

2 11 2 22
2 12

1.
+
=2

x22
x21
x1 x2

2
2
2
22 33
23

2.
+
=2
2
2

x3
x2
x2 x3

2
2
2
33 11
31

3.
+
=2
2
2
x1
x3
x3 x1

23 31 12
2 11

4.

+
+
=

x1
x1
x2
x3
x2 x3

23 31 12
22

5.

+
=

x2 x1
x2
x3
x3 x1

23 31 12
33

6.
+

x3 x1
x2
x3
x1 x2

or x E = 0.

(2.59)

(2.60)

The six equations written in symbolic form appear as


E=0

(2.61)

38

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

Even though we have the compatibility equations, the formulation is still incomplete in
that there is no connection between the equilibrium equations (three equations in six
unknowns ij ), and the kinematic equations (six equations in nine unknowns ij and ui ).
We will seek the connection between equilibrium and kinematic equations in the laws of
physics governing material behavior, considered in the next chapter.
Remark on 2D:
For plane strain parallel to the x1 x2 plane, the six equations reduce to the single
equation
11,22 + 22,11 = 212,12
(2.62)
or symbolic
E = 0.

(2.63)

For plane stress parallel to the x1 x2 plane, the same condition as in case of plain strain
is used, however, this is only an approximative assumption.

2.4
2.4.1

Material behavior
Uniaxial behavior

Constitutive equations relate the strain to the stresses. The most elementary description
is Hookes law, which refers to a onedimensional extension test
11 = E11

(2.64)

where E is called the modulus of elasticity, or Youngs modulus.


Looking on an extension test with loading and unloading a different behavior is found
(fig. 2.7).
There is the linear area governed by Hookes law. In yielding occure which must be
governed by flow rules. is the unloading part where also in pressure yielding exist .
Finally, a new loading path with linear behavior starts. The region given by this curve is
known as hysteresis loop and is a measure of the energy dissipated through one loading
and unloading circle.
Nonlinear elastic theory is also possible. Then path is curved but in loading and
unloading the same path is given.

2.4. MATERIAL BEHAVIOR

39

Figure 2.7: - diagram of an extension test. [29]

2.4.2

Generalized Hookes law

2.4.2.1

General anisotropic case

As a prerequisite to the postulation of a linear relationship between each component of


stress and strain, it is necessary to establish the existence of a strain energy density W
that is a homogeneous quadratic function of the strain components. The density function
should have coefficients such that W 0 in order to insure the stability of the body, with
W (0) = 0 corresponding to a natural or zero energy state. For Hookes law it is
2W = Cijkm ij km .

(2.65)

The constitutive equation, i.e., the stressstrain relation, is a obtained by


ij =

W
ij

(2.66)

yielding the generalized Hookes law


ij = Cijkm km .

(2.67)

There, Cijkm is the fourthorder material tensor with 81 coefficients. These 81 coefficients
are reduced to 36 distinct elastic constants taking the symmetry of the stress and the strain
tensor into account. Introducing the notation
= (11 22 33 12 23 31 )T

(2.68)

40

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

and
= (11 22 33 212 223 231 )T

(2.69)

Hookes law is
K = CKM M

K, M = 1, 2, . . . , 6

(2.70)

and K and M represent the respective double indices:


1=
11, 2 =
22, 3 =
33, 4 =
12, 5 =
23, 6 =
31.
From the strain energy density the symmetry of the materialtensor
Cijkm = Ckmij

or

CKM = CM K

(2.71)

is obvious yielding only 21 distinct material constants in the general case. Such a material
is called anisotropic.

2.4.2.2

Planes of symmetry

Most engineering materials possess properties about one or more axes, i.e., these axes
can be reversed without changing the material. If, e.g., one plane of symmetry is the
x2 x3 plane the x1 axis can be reversed (fig. 2.8),
x3
x3

x3
x1

x1

x2
x2

x1
(a) Original coordinate system

(b) Onesymmetry plane

x2
(c) Twosymmetry planes

Figure 2.8: Coordinate systems for different kinds of symmetry. [29]

yielding a transformation

1 0 0

x = 0 1 0 x .
0 0 1

(2.72)

2.4. MATERIAL BEHAVIOR

41

With the transformation property of tensors


ij = ik jl kl

(2.73)

ij = ik jl kl

(2.74)

11
11
11
11


22
22
22 22


33
33
33 33

=
= C 2 = C 2 .
12

12
12 12


223
223
23 23
31
231
231
31

(2.75)

and

it is

The above can be rewritten

C11 C12 C13 C14 C15

C22 C23 C24 C25

C33 C34 C35


=

C44 C45

sym.
C55

C16

C26

C36

C46

C56
C66

(2.76)

but, since the constants do not change with the transformation, C14 , C16 , C24 , C26 , C34 ,
!
C36 , C45 , C56 = 0 leaving 21 8 = 13 constants. Such a material is called monocline. The
case of three symmetry planes yields an orthotropic material written explicitly as

C11 C12 C13 0


0
0

C22 C23 0
0
0

C33 0
0
0

=
(2.77)

C
0
0
44

sym.
C55 0
C66
with only 9 constants. Further simplifications are achieved if directional independence,
i.e., axes can be interchanged, and rotational independence is given. This reduces the
numbers of constants to two, producing the familiar isotropic material. The number of
constants for various types of materials may be listed as follows:

42

CHAPTER 2. FOUNDATION OF SOLID MECHANICS


21 constants for general anisotropic materials;
9 constants for orthotropic materials;
2 constants for isotropic materials.

We now summarize the elastic constant stiffness coefficient matrices for a few selected
materials.
Orthotropic: 9 constants
C11

C12
C22

C13
C23
C33

0
0
0
C44

sym.

0
0
0
0
C55

0
0
0
0
0
C66

(2.78)

Isotropic: 2 constants
C11

C12
C11

sym.

C12
C12
C11

0
0
0
1
(C11 C12 )
2

0
0
0
0
1
(C11 C12 )
2

0
0
0
0
0
1
(C11 C12 )
2

(2.79)

A number of effective modulus theories are available to reduce an inhomogeneous multilayered composite material to a single homogeneous anisotropic layer for wave propagation
and strength considerations.
2.4.2.3

Isotropic elastic constitutive law

Using the Lame constants , the stress strain relationship is


2 +

0 0 0
11


2 +

0 0 0 22


2 + 0 0 0

33
=

2 0 0

12

sym.
2 0 23
2 31

(2.80)

2.4. MATERIAL BEHAVIOR

43

or in indical notation using the stress and strain tensors


ij = 2ij + ij kk
or vice versa
ij =

ij kk
ij

.
2 2(2 + 3)

(2.81)

(2.82)

Other choices of 2 constants are possible with


the shear modulus
E
,
2(1 + )
E
,
=
(1 + )(1 2)

= G=

(2.83)

Youngs modulus
(2 + 3)
,
+

(2.84)

,
2( + )

(2.85)

3 + 2
E
=
.
3(1 2)
3

(2.86)

E=
Poissons ratio

=
bulk modulus
K=

From equation (2.83) it is obvious 1 < < 0.5 if remains finite. This is, however, true
only in isotropic elastic materials. With the definition of Poissons ratio
=

22
33
=
11
11

(2.87)

a negative value produces a material which becomes thicker under tension. These materials can be produced in reality and are called auxetic materials.
The other limit = 0.5 (isochoric) can be discussed as: Taking the 1principal axes as
(1) = then both other are (2) = (3) = (see equation (2.87)). This yields the
volume change
V
= ii = (1 2)
(2.88)
V
Now, = 0.5 gives a vanishing volume change and the material is said to be incompressible. Rubberlike materials exhibit this type of behavior.

44

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

Finally, using the compression/bulk modulus K and the shear modulus G and further
the decomposition of the stress and strain tensor into deviatoric and hydrostatic part,
Hookes law is a given (eij are the components of D )
kk = 3Kkk

2.5
2.5.1

sij = 2Geij .

(2.89)

Summary
Stress

Tractions
33

t3
32
31
13

ti = ij ej

23
22

12
21

11

t1

2.5.1.1

Stress Tensor

11 12 13

= 21 22 23
31 32 33

t2

11 , 22 , 33 : normal components
12 , 13 , 23
: shear components
21 , 31 , 32

Stress at a point
ti = ji nj
Transformation in another cartesian coordinate system
ij = ik jl kl = ik kl lj
with direction cosine: ij = cos (xi , xj )

2.5. SUMMARY

45

Stress in a normal plane


Normal component of stress tensor:
Tangential component of stress tensor:

nn = ij nj ni
ns = ij ni sj =

2
ti ti nn

Equilibrium
= T

ij = ji

ij ,j +fi = 0 (static case)

with boundary condition: ti = ij nj

Principal Stress
In the principal plane given by the principal axes n(k) no shear stress exists.

Stress tensor referring to principal stress directions:

(1) 0
0

= 0 (2) 0
0
0 (3)

with

(1) (2) (3)

Determination of principal stresses (k) with:


!

|ij (k) ij | = 0
11 (k)
12
13
21
22 (k)
23
31
32
33 (k)
with the Kronecker delta :
ij =

1
0

if i = j
if i = j

= 0

46

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

Principal stress directions n(k) :

(k)

(ij (k) ij ) nj = 0
(k)

(11 (k ) n1 +

(k)

13 n3 = 0

(k)

(k)

23 n3 = 0

(k)

(k)

12 n2 +

(k)

(k)

21 n1 +(22 (k) ) n2 +
(k)

32 n2 + (33 (k) ) n3 = 0

31 n1 +

Stress invariants
The first, second, and third stress invariant is independent of the coordinate system:
I1 = ii = tr = 11 + 22 + 33
1
(ii jj ij ij )
2
= 11 22 + 22 33 + 33 11 12 12 23 23 31 31

I2 =

I3 = |ij | = det

Hydrostatic and deviatoric stress tensors


A stress tensor ij can be split into two component tensors, the hydrostatic stress tensor

1 0 0

= M 0 1 0
0 0 1

ijM = M ij

with M =

and the deviatoric tensor

11 M
12
13

S = M I = 21
22 M
23
31
32
33 M
ij = ij

kk
+ Sij .
3

kk
3

2.5. SUMMARY

2.5.2

47

Exercises

1. The state of stress at a point P in a structure is given by


11 = 20000
22 = 15000
33 = 3000
12 = 2000
23 = 2000
31 = 1000 .
(a) Compute the scalar components t1 , t2 and t3 of the traction t on the plane
passing through P whose outward normal vector n makes equal angles with
the coordinate axes x1 , x2 and x3 .
(b) Compute the normal and tangential components of stress on this plane.
2. Determine the body forces for which the following stress field describes a state of
equilibrium in the static case:
11 = 2x21 3x22 5x3
22 = 2x22 + 7
33 = 4x1 + x2 + 3x3 5
12 = x3 + 4x1 x2 6
13 = 3x1 + 2x2 + 1
23 = 0
3. The state of stress at a point is given with respect to the Cartesian axes x1 , x2 and
x3 by

2 2
0

ij = 2
2
0 .

0
0 2
Determine the stress tensor ij for the rotated axes x1 , x2 and x3 related to the
unprimed axes by the transformation tensor

1
1
0
2
2

1
1
ik = 12
.

2
2
1
1
1
2 2 2

48

CHAPTER 2. FOUNDATION OF SOLID MECHANICS


4. In a continuum, the stress field is given by the tensor

(1 x22 )x1 0
x21 x2

(x32 3x2 )
ij = (1 x22 )x1
0 .
3
0
0
2x23

Determine the principal stress values at the point P (a, 0, 2 a) and the corresponding principal directions.
5. Evaluate the invariants of the stress tensors ij and ij , given in example 3 of chapter
2.
6. Decompose the stress tensor

3 10 0

ij = 10 0
30
0
30 27
into its hydrostatic and deviator parts and determine the principal deviator stresses!
7. Determine the principal stress values for
(a)

0 1 1

ij = 1 0 1
1 1 0

and
(b)

2 1 1

ij = 1 2 1
1 1 2
and show that both have the same principal directions.

2.5.3

Deformations

Linear (infinitesimal) strain tensor :


1
Lij = E
ij = ij = (ui,j + uj,i )
2

2.5. SUMMARY

49

u1,1
1
= 2 (u1,2 + u2,1 )
1
(u1,3 + u3,1 )
2

1
(u1,2
2

+ u2,1 )

u2,2
1
(u2,3 + u3,2 )
2


+ u3,1 )
11
1
+ u3,2 ) = 2 21
1
u3,3

2 31

1
(u1,3
2
1
(u2,3
2

1
2

12
22
1

2 32

13

23
33

1
2
1
2

Principal strain values (k) :


!

|ij (k) ij | = 0
Principal strain directions n(k) :
(k)

(ij (k) ij ) nj = 0
Hydrostatic and deviatoric strain tensors
A stress tensor ij can be split into two component tensors, the hydrostatic stain tensor

1 0 0

= M 0 1 0
0 0 1

M
ij = M ij

with M =

and the deviatoric strain tensor

11 M
12
13

= M I = 21
22 M
23
31
32
33 M

(D)

Compatibility:
lm,ln + ln,lm mn,ll = ll,mn

11,22 + 22,11 = 212,12 = 12,12


22,33 + 33,22 = 223,23 = 23,23
33,11 + 11,33 = 231,31 = 31,31
12,13 + 13,12 23,11 = 11,23
23,21 + 21,23 31,22 = 22,31
31,32 + 32,31 12,33 = 33,12

kk
3

50

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

2.5.4

Exercises

1. The displacement field of a continuum body is given by


X 1 = x1
X2 = x2 + Ax3
X3 = x3 + Ax2
where A is a constant. Determine the displacement vector components in both the
material and spatial form.
2. A continuum body undergoes the displacement

3x2 4x3

u = 2x1 x3 .
4x2 x1
Determine the displaced position of the vector joining particles A(1, 0, 3) and
B(3, 6, 6).
3. A displacement field is given by u1 = 3x1 x22 , u2 = 2x3 x1 and u3 = x23 x1 x2 . Determine the strain tensor ij and check whether or not the compatibility conditions
are satisfied.
4. A rectangular loaded plate is clamped along the x1 - and x2 -axis (see fig. 2.9). On
the basis of measurements, the approaches 11 = a(x21 x2 + x32 ); 22 = bx1 x22 are
suggested.
x2 , u2

x1 , u1

Figure 2.9: Rectangular plate. [29]


(a) Check for compatibility!
(b) Find the displacement field and
(c) compute shear strain 12 .

2.5. SUMMARY

2.5.5

51

Material behavior

Generalized Hookes Law


ij = Cijkm km

K = CKM M

with K, M = 1, 2, ..., 6 and K, M represent the respective double indices:


1=11, 2=22, 3=33, 4=12, 4=23, 6=31

11
C11 C12

22 C12 C22

33 C13 C23
=
C
12 14 C24

23 C15 C25
31
C16 C26

C13
C23
C33
C34
C35
C36

C14
C24
C34
C44
C45
C46

C15
C25
C35
C45
C55
C56


C16
11

C26 22


C36
33

C46
12

C56 23
C66
31

Orthotropic material


11
C11 C12 C13 0
0
0
11


0
0 22
22 C12 C22 C23 0


33
33 C13 C23 C33 0
0
0

=
0

0
0 C44 0
0
12
12


23 0
0
0
0 C55 0 23
31
31
0
0
0
0
0 C66

Isotropic material



11
2 +

0 0 0
11


2 +

0 0 0 22
22


33

2 + 0 0 0
=
33
0

0
0
2 0 0
12
12


23 0
0
0
0 2 0 23
31
0
0
0
0 0 2
31

52

CHAPTER 2. FOUNDATION OF SOLID MECHANICS

Relation between Lame constants , and engineering constants:


E
2(1 + )
(2 + 3)
+
E
(1 + )(1 2)

2( + )
E
3(1 2)
3 + 2
3

= G=
E =
=
=
K =
=
Thermal strains:
ij (T ) = (T T0 )ij

ij = 2ij + kk ij ij (3 + 2)(T T0 )

2.5.6

Exercises

1. Determine the constitutive relations governing the material behavior of a point having the properties described below. Would the material be classified as anisotropic,
orthotropic or isotropic?
(a) state of stress:
11 = 10.8;

22 = 3.4;

33 = 3.0;

corresponding strain components:


11 = 10 104 ; 22 = 2 104 ;

12 = 13 = 23 = 0

33 = 2 104 ;

12 = 23 = 31 = 0

(b) state of stress:


11 = 10;

22 = 2;

corresponding strains:
11 = 10 104 ;

33 = 2;

12 = 23 = 31 = 0

22 = 33 = 12 = 23 = 31 = 0

(c) state of stress:


When subjected to a shearing stress 12 , 13 or 23 of 10, the material develops
no strain except the corresponding shearing strain, with tensor component 12 ,
13 or 23 , of 20 104 .

2.5. SUMMARY

53

2. A linear elastic, isotropic cuboid is loaded by a homogeneous temperature change.


Determine the stresses and strains of the cuboid, if
(a) expansion in x1 and x2 -direction is prevented totally and if there is no prevention in x3 -direction.
(b) only in x1 -direction, the expansion is prevented totally.
3. For steel E = 30 106 and G = 12 106 .
this material are given by

0.004

= 0.001
0

The components of strain at a point within

0.001
0

0.006 0.004 .
0.004 0.001

Compute the corresponding components of the stress tensor ij .

3 Foundation of Constitutive
Material Models
3.1

The Stress Plane

An octahedral plane is defined as a plane where the normal to the plane makes equal
angles to the three principal strain directions. Eight such planes exist and one example
is shown in figure 3.1 where the axes 1, 2 and 3 refer to the principal strain directions.
11

Aquisektrix

33
p

22
Figure 3.1: Deviatoric or Octahedral Plane (plane): Hydrostatic Stress (pressure) p
and Deviatoric Stress q. [5]

For the normal to the octahedral plane shown in the figure, we have n =

1
3

1

1
1

In the coordinate system collinear with the principal strain directions, the strain tensor
54

3.2. DILATION

55

1 0 0

takes the form = 0 2 0


0 0 3
The vector q is defined by q = n. It then follows from figure 3.2 that the normal strain
0 and tensorial shear strain 0 /2 on the octahedral plane are given by
0 = nT q;

0
=
2

qT q 20 ,

Figure 3.2: The vector q = n and its components after direction m and n. [25]
where 0 is called the octahedral normal strain and 0 is called the octahedral shear strain.
The deviatoric or octhaedral plane shows the possible shear stresses at a specific hydrostatic pressure level. A typical shape of a yield function for i.e. soil can look like figure
3.4

3.2

Dilation

A specific quality of most bulk solids but also other materials as some kinds of artificial
ones show the effect of dilation. Dilation is characterised by a increase of volumetric
extension during deforming with shear strain in case of soil and bulk solids or while
stretching in case of auxetic materials.

56

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

Figure 3.3: Example: Single Surface Yield Function for Soil, 3D view of stress space.

Figure 3.4: Characteristic Single Surface Yield Function in deviatoric plane for Soil.
[25]
A state of uniform Dilation occurs, if the strain tensor is given by
ij = bij ,
where b is an arbitrary scalar. The deviatoric strain tensor eij becomes zero and the
strain state corresponds to a uniform Dilation, i.e. a volume change, where the extension-

3.2. DILATION

57

Figure 3.5: (left) Uniform dilation; (mid) Auxetic material behaviour, auxetic hexagon;
(right) Dilating package of grains while shearing

Figure 3.6: Uniaxial strain. [25]


or contraction-in any direction is the same and equal to the parameter b, cf. Fig.3.5.
Uniaxial strain occurs if the displacement vector ui

u1 (xi , t)

[ui ] =
0
0

is given by

which implies that


11 = ui /xi
and all other strain components being zero, Fig. 3.6.
Plane strain or plane deformation occurs if the displacement vector ui is given by

u1 (x1 , x2 , t)

[ui ] = u2 (x1 , x2 , t)
0

58

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

which implies

11 12 0

[ij ] = 21 22 0
0
0 0
This strain state occurs often in practise when a long prismatic or cylindrical body is
loaded by forces which are perpendicular to the longitudinal elements and which do not
vary along the length. In this case, it can be assumed that all cross sections are in the
same state and if, moreover, the body is restricted from moving in the length direction, a
state of plane strain exists. An example is an internally pressurised tube with end sections
confined between smooth and rigid walls, Fig.3.7.

Figure 3.7: An example of plane strain. Pressurised tube with end sections confined
between smooth and rigid walls. [25]
So-called generalised plane strain or generalised plane deformation occurs if

u1 (x1 , x2 , t)

[ui ] = u2 (x1 , x2 , t)
u3 (x1 , x2 , t)
which leads to

11 12 13

[ij ] = 21 22 23
31 32 0

3.3. LINEAR HYPER-ELASTICITY - ANISOTROPY

59

Figure 3.8: Simple shear, no volume change. [25]

3.3

Linear hyper-elasticity - Anisotropy

A material is anisotropic, if it behaves differently when loaded in the same manner in


different directions. As an illustration, consider the piece of wood shown in Fig. 3.9.
In Figure 3.9(a), we have uniaxial tension along the x1 axis and we may express the
relation between 11 and 11 as 11 = Ea 11 , where Ea is some experimentally determined
stiffness parameter. Likewise, in Figure 3.9(b), we also have uniaxial tension along the
x1 axis and the relation between 11 and 11 can now be given as 11 = Eb 11 , where Eb
is some experimentally determined stiffness parameter. Comparison of Figure 3.9(a) and
3.9(b) clearly shows that Ea = Eb . We are thereby led to the following general conclusion:
Material anisotropy means that the constitutive relation takes different forms depending
on the Cartesian coordinate system we use.
Let us assume that the constitutive law between stresses and strains is linear and let us
investigate the general properties of this relation for a hyper-elastic material. The most
general linear relation must be of the form

ij = Dijkl kl ;

Dijkl = Dijkl (xi ),

(3.1)

where Dijkl is the elastic stiffness tensor. That Dijkl indeed is a tensor of fourth order
follows from the quotient theorem and the fact that ij and ij are second order tensors.
The formulation (3.1) covers both anisotropic and isotropic elastic materials.

60

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

Figure 3.9: Example of anisotropy. Piece of wood loaded by the same uniaxial tension in
different directions. [25]

3.4

Viscoelasticity

In classic elasticity there is no time delay between the application of a force and the deformation that it causes. For many materials, however, there is additional time-dependent
deformation that is recoverable. This is called viscoelastic or anelastic deformation.
When a load is applied to a material, there is an instantaneous elastic response, but the
deformation also increases with time. This viscoelasticity should not be confused with
creep, which is time-dependent plastic deformation. Anelastic strains in metals and ceramics are usually so small that they are ignored. In many polymers, however, viscoelastic
strains can be very significant. Anelasticity is responsible for the damping of vibrations.
A high damping capacity is desirable where vibrations might interfere with the precision
of instruments or machinery and for controlling unwanted noise. A low damping capacity is desirable in materials used for frequency standards, in bells, and in many musical
instruments. Viscoelastic strains are often undesirable. They cause sagging of wooden
beams, denting of vinyl flooring by heavy furniture, and loss of dimensional stability in
gauging equipment. The energy associated with damping is released as heat, which often
causes an unwanted temperature increase. Study of damping peaks and how they are

3.4. VISCOELASTICITY

61

affected by processing has been useful in identifying mechanisms.

3.4.1

Rheological Models

Anelastic behaviour can be modeled mathematically with structures constructed from


idealised elements representing elastic and viscous behaviour, as shown in Figure 3.10. A
spring models a perfectly elastic solid. The behaviour is described by
e = Fe /Ke ,

(3.2)

where e is the change of length of the spring, Fe is the force on the spring, and Ke is the
spring constant.
248

MECHANICAL BEHAVIOR OF MATERIAL

Figure 15.1. Rheological elements.

Spring

Dashpot

A dashpot models a perfectly viscous material. Its behavior is described by

Figure 3.10: Rheological elements.


ev = dev /dt = Fv /K v ,

(15.2

where ev is the change in length of the dashpot, F v is the force on it, and K v is th
A dashpot models a perfectly
viscous
material. Its behaviour is described by
dashpot
constant.
Series combination
ofv /K
a spring
and dashpot
v = dv /dt = F
v,

(3.3)

The Maxwell model consists of a spring and dashpot in series, as shown in Figure 15.
where v is the change inHere
length
the
dashpot,
Fv F,
is without
the force
on it, will
and refer
Kv to
is the
theoverall elongatio
and inofthe
following,
e and
subscripts,
dashpot constant.
and the external force. Consider how this model behaves in two simple experiment
First, let there be a sudden application of a force, F, at time t = 0, with the forc
being maintained constant (Figure 15.3). The immediate response from the spring
3.4.2 Maxwell Model
ee = F/K e . This is followed by a time-dependent response from the dashpot, ev
Ft/K v . The overall response will be
The Maxwell model consists of a spring and dashpot
in series, as shown in Figure 3.11.
(15.3
e = ee + ev = F/K e + Ft/K v ,
Here and in the following, and F , without subscripts, will refer to the overall elongation
so the strain rate will be constant. The viscous strain will not be recovered on unloadin
and the external force. Consider how this model behaves in two simple experiments.
Now consider a second experiment. Assume that the material is forced to undergo
sudden elongation, e, at time t = 0 and that this elongation is maintained for a period o
time, as sketched in Figure 15.4. Initially the elongation must be accommodated entire
by the spring (e = ee ), so that the force initially jumps to a level F o = K e e. This forc
F

If:

62

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

Figure 3.11: Spring and dashpot in series (Maxwell model).

Figure 3.12: Strain relaxation predicted by the series model. The strain increases linearly
with time.

3.5. PLASTICITY

63

First, let there be a sudden application of a force, F , at time t = 0, with the force being
maintained constant 3.12. The immediate response from the spring is e = F/Ke .
This is followed by a time-dependent response from the dashpot, v = Ft /Kv . The overall
response will be
= e + v = F/Ke + ft /Kv ,

(3.4)

so the strain rate will be constant. The viscous strain will not be recovered on unloading.
Now consider a second experiment. Assume that the material is forced to undergo a
sudden elongation, e, at time t = 0 and that this elongation is maintained for a period of
time, as sketched in 3.13. Initially the elongation must be accommodated entirely by the
spring (e = e ), so that the force initially jumps to a level Fo = Ke e. This force

Figure 3.13: Stress relaxation predicted by the series model. The stress decays to zero.
causes the dashpot to operate, gradually increasing the strain v . The force in the
spring, F = Ke e = ( v )Ke , equals the force in the dashpot, F = Kv dv /dt,
( v )1 dv = (Ke /Kv )dt. Integrating, ln[( v )/e] = (Ke /kv )t. Substituting
( v ) = F/Ke , Ke e = Fo , and ln(F/Fo ) = t/(Kv /Ke ). Now defining a relaxation time,
= Kv /Ke ,
F = Fo exp(t/ ).

3.5
3.5.1

(3.5)

Plasticity
Phenomenological aspects

The uniaxial behaviour of materials shows that irreversible strain develops in a way which
depends on the type of material. In the case of metals such as mild steel, the observed

64

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

behaviour in tension is schematised in 3.14(left), where it can be seen that the response
is elastic and linear until a point A is reached, from which plastic or irreversible strain
upon unloading appears. If the specimen is subjected to an increasing strain, the stress
does not change until point E. Along the plateau ABDE, the material behaviour is known
as perfectly plastic. If the specimen is unloaded, both loading and unloading follow the
same path, without irreversible deformation. The level of stress at which plastic strains
appears does not change, and the material does not harden. Once a certain level of strain
has been reached (E), the stress again increases. If we unload at some point F and then
reload again, the material is able to resist a higher load until new plastic strains develop
(hardening). Finally, a maximum load is reached from which the stress decreases until
the material fails. In the case of soft soils such as saturated clays, the stress-strain curve
is different, as plastic strain are present from very early stages of the test

Figure 3.14: (left) Behaviour of mild steel; (right) Behaviour of soft clay. [32]

Finally, some geomaterials such as concrete present degradation due to damage caused by
the loading process to the structure of the material (3.15). Loading and unloading shows
clearly how the apparent elastic modulus of the material degrades as the test progresses.
Full understanding of this behaviour needs to take into account this process of degradation,
and theories such as Damage Mechanics provide a suitable framework. However, plastic
models can be developed to reproduce the observed behaviour with an acceptable degree
of accuracy.

3.5. PLASTICITY

65

Figure 3.15: Behaviour of materials with damage. [32]

3.5.2

Basic theory

If the response of the material does not depend on the velocity at which the stress varies
the relationship between the increments of stress and strain can be written as d = (d)
where , is a function of the increment of the stress tensor d and variables describing
the state (or history) of the material. This is a general relation embracing most nonlinear, rate-independent constitutive laws.
An inverse form is
d = (d)

(3.6)

As the material response does not depend on time,


d = (d),

(3.7)

where + , is a positive scalar (Darve 1990). Consequently, is a homogeneous


function of degree 1, which can be written
=

: d
(d)

from which the increments of stress and strain are related by

(3.8)

66

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

d = C : d

d = D : d

(3.9)

where
C=

(d)

is a fourth-order tensor, homogeneous, of degree zero in d. Before continuing, some basic


properties of C will be described.
We will consider a uniaxial loading-unloading-reloading test schematised in Figure 3.16,
where the constitutive tensor C is a scalar, the inverse of the slope at the point considered.
As can be seen, the slope depends on the stress level, being smaller at higher stresses.
However, if we compare the slopes at points A1 , A2 andA3 , they are not the same, and C
depends on past history (stresses, strains, modification of material microstructure, etc.)
Taking a closer look at point C, it can be seen that, for a given point, different slopes
are obtained in loading and unloading, which implies a dependence on the direction
of stress increment. This dependence is only on the direction, as C is a homogeneous
function of degree zero on d.
Therefore, in this simple one-dimensional case, it is possible to write for loading
dL = CL : d

(3.10)

and for unloading


dU = CU : d
We observe that if we consider an infinitesimal cycle with d followed by d, the total
change of strain is not zero as
d = dL + dU = (CL CU ) : d = 0.

(3.11)

This kind of constitutive law has been defined by Darve (1990) as incrementally nonlinear. There are several alternatives to introduce the dependence on the direction of the
stress increment, among which it is worth mentioning the multilinear laws proposed by
Darve and co-workers in Grenoble (Darve and Labanieh, 1982), or the hypoplastic laws
of Dafalias (1986) or Kolymbas (1991). However, the simplest consists of defining in the

3.5. PLASTICITY

67

Figure 3.16: General stress-strain behaviour. [32]


stress space a normalized direction n for any given state of stress a such that all possible
increments of stress are separated into two classes, loading and unloading

dL = CL : d

f orn : d > 0 (loading)

(3.12)

dV

f orn : d < 0 (unloading)

(3.13)

= CV : d

Neutral loading corresponds to the limit case for which

n : d = 0.

(3.14)

This is the starting point of the Generalised Theory of Plasticity.

3.5.3

Classical theory of plasticity

Formulation as a particular case of generalised plasticity theory


Classical Plasticity Theory can be considered as a particular case of the Generalised
Theory described above by a suitable choice of the plastic modulus, directions n and
ngL /U and the elastic constitutive tensor.
A yield surface is first introduced as

68

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

f (, ) = 0,

(3.15)

where we have assumed that there is a set of scalar internal variables accounting for the
material state and characterising the size (and shape) of the yield surface. Sometimes, as
will be discussed later, f depends also on the tensor variable a, as in the case of kinematic
and anisotropic hardening models, for instance. Here we will restrict the discussion to the
isotropic case stated above.
In the interior of the yield surface, there is no plastic deformation, and, consequently, the
plastic modulus is H = .
The loading-unloading direction is given by the normal to the surface

nL/U =

f
|
|

(3.16)

where
|

f f 1/2
f
|=(
:
)

The direction of plastic flow is similarly derived from a plastic potential surface g() = 0
passing through the stress point considered,

ngL/U =

g
|
|

(3.17)

Both surfaces can coincide, and the flow rule is then said to be associative, or can be different in which case there is a non-associative flow rule. Therefore, the material behaviour
predicted by Classical Plasticity models presents a sharp transition from the elastic to
the elastoplastic regime, with a discontinuity in the derivative of stress-strain curves. The
plastic modulus is obtained through application of the so called consistency condition,
i.e., the requirement that during yield the stress point should always remain on the yield
surface. A certain hardening law has to be introduced, relating d to either incremental
plastic work or to the increment of plastic strain.
Yield and failure surfaces
Following experimental evidence, plasticity theories postulate that irreversible or plastic
strain appears whenever the stress reaches a surface f (ij , ) = 0. For all stress states in

3.5. PLASTICITY

69

the interior of this surface, material behaviour is elastic and f (ij , ) < 0. If is constant,
the material cannot sustain a higher stress and failure takes place. This is the reason why
the yield surface is also known as the failure surface. Care should be taken, however, as
in the case of materials with hardening, these surfaces can be different. The scalar K
usually characterises the size of the surface. This is, of course, a simplification, and more
complex descriptions are available, such as
f (ij , ij , ) = 0

(3.18)

or
f (ij , ij , 1 , 2 , 3 , ...) = 0
If the material is isotropic, the representation theorems of scalar functions of tensor variables allows a simpler expression for f
f (I1 , J2 , J3 , ) = 0
or
f (1 , 2 , 3 , ) = 0
which can be further simplified to
f (I1 , J2 , J3 ) Y () = 0
or
f (1 , 2 , 3 )Y () = 0
where Y () is generally some measure of strength. I1 is the first invariant of the stress
tensor,
I1 = 1 + 2 + 3 =
J2 and J3 the second and third invariants of the deviatoric stress tensor s,
1
s = I1 I
3

(3.19)

1
1
J2 = tr(s2 ) = sij sji
2
2

(3.20)

70

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

1
1
J3 = tr(s3 ) = sij sj si
3
3

(3.21)

and 1 , 2 , 3 the three principal stresses.


At this stage it is convenient to define also the Lodes angle (Figure 5.23) often used
instead of J3 .

1 1 3 3 J3
= sin (
)
3
2 J23/2

(3.22)

with

3.6

= 30o
6
6

Hardening, softening and failure

It is important to distinguish between the yield surface, inside which behaviour of the
material is elastic, and the failure surface, where failure takes place. To illustrate this,
consider the example given in Figure 3.17 where a specimen of soft clay is being loaded
from an initial state P1 to failure at P3 .There, yield surfaces are the ellipses f () = 0.
The parameter in this case is associated with the (negative) plastic volumetric strain,
i.e.
d = d

(3.23)

and in 3.17 we show the yield surface in the space of two stress invariants, the second or
deviatoric invariant and the first or mean, hydrostatic stress invariant. With each of these
is associated an appropriate strain component n being the component in the direction
of decreasing volumetric strain if plasticity is assumed associated. Thus the three stages
of loading P1 , P2 and P3 correspond to increasing values of as shown in 3.17(b). It has to
be noticed that plastic strain appears from the beginning of the test, as the initial stress
is on the yield surface. If, for instance, we unload at P2 , there will exist a permanent
deformation even when the stress has come back to the original state.
The process of increasing the size of the yield surface in this case is known as hardening.
Comparing the conditions at P1 and P2 , the elastic domain is bigger in the latter, and the

3.6. HARDENING, SOFTENING AND FAILURE

71

Figure 3.17: Typical hardening behaviour of clay. (a) Yield surfaces (b) Stress-strain
curve showing permanent strain upon unloading. [32]
material is harder in this sense. Notice that slopes of the stress-strain curves contradict
this definition, as the incremental response of the material is harder in the first case.
Hardening is not a common feature of all materials. Indeed, in the case shown in Figure
3.18, the size did not change and failure takes place as soon as the yield surface is reached.
In another loading case, the size of the yield surface may decrease, as shown in Figure
3.19, and softening behaviour occurs.

3.6.1

Frequently used failure and yield criteria

3.6.1.1

Pressure independent criteria

von Mises yield criterion assumes that plastic strain appears whenever the second invariant
of the stress tensor reaches a critical value Y 2 , where Y () is generally the tensile strength.
Alternative expressions are
(i) In the principal stress space
f = (1 2 )2 + (2 3 )2 + (1 3 )2 6Y 2 = 0.

(3.24)

(ii) In general stress conditions


2
2
2
f = (xx yy )2 + (yy zz )2 + (zz xx )2 + 6xy
+ 6yz
+ 6zx
6Y 2 = 0. (3.25)

72

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

Figure 3.18: Ideal Plasticity ( = constant). (a) Stress path (b) Stress-strain curve. [32]

Figure 3.19: Softening behaviour. (a) Stress path (b) Stress-strain curve. [32]
Taking into account that the condition J2 = constant, corresponds to stress states
1 , 2 , 3 such that the distance to the hydrostatic axis 1 = 2 = 3 is constant, von

Mises criterion is represented in principal stress axes as a cylinder of radius 2J2 = 2Y


which is schematised in Figure 3.20(a). In the same figure we show a plane perpendicular
to the hydrostatic axis, which is referred to as the II plane. Its intersection with the von
Mises cylinder is a circle, which is shown in Fig.3.20(b).
A simple method of determining the constant Y is to perform a tension test 1 = 2 =
3 = 0 and to determine the instant at which plastic strain develops. If the value of
limiting tensile stress is a y then we obtain

f = (Y 0)2 + (0 0)2 + (0 Y )2 6Y 2 = 0.

(3.26)

3.6. HARDENING, SOFTENING AND FAILURE

73

for which
1
Y = Y .
3

(3.27)

Figure 3.20: von Mises - Huber yield criterion. (a) In the principal stress space (b) Section
by plane. [32]
In plane stress conditions, 3 = 0, and the expression of the criterion in principal stress
axes is
f = (1 2 )2 + (2 )2 + (1 )2 6Y 2 = 0.

(3.28)

which corresponds in the 1 , 2 axes to an ellipse with principal axes at 45 (Figure 3.21).
Tresca criterion: The Tresca criterion, proposed in 1864, is based on the assumption
that plastic straining of a material appears when the maximum shear strain reaches a
critical value Y . This condition, expressed in terms of the principal stresses reads
(max min ) = Y.

(3.29)

Substituting now the maximum and minimum principal stresses by their values in terms
of the invariants I1 , , J2 and Lodes angle

1
1
sin( + 2
)
3
I1 2 J2

2 = 1 + sin()
3
3
3
cos( + 4
)
1
3

(3.30)

74

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

Figure 3.21: Von Mises criterion for plane stress conditions. [32]
Noting that

max

I1 2 J2
2
+ sin( +
),
=
3
3
3

min

2 J2
2
= I1 + cos( +
)
3
3

(3.31)

we can write finally

2 J2 cos = Y.

(3.32)

When plotted in the space of principal stresses, the Tresca yield criterion is a hexagonal
prism, with its axis coincident with the hydrostatic axis 1 = 2 = 3 Figure 3.22(a). The
section by the -plane is a regular hexagon as can be seen in Figure 3.22(b).
Finally, the plane stress condition 2 = 0 is represented by

1
1 = Y
2
1
3 = Y
2
1
(1 3 ) = Y
2
which are shown in Figure 3.23.

(3.33)
(3.34)
(3.35)

3.6. HARDENING, SOFTENING AND FAILURE

75

Figure 3.22: Tresca Yield criterion. (a) In principal stress axes (b) In the plane. [32]
3.6.1.2

Pressure dependent criteria

In 1773 Coulomb proposed the law


= c n tan .

(3.36)

to describe the conditions under which failure takes place in soils. He assumed that failure
occurs on a plane on which the shear stress , and the normal stress n (compression
negative) fulfil the above condition. Although it is not advisable to think of it as a yield
surface, it has been used frequently in engineering practise, and most finite element codes
include it.
In terms of principal stresses or invariants, we will write
1 3
cos .
2

(3.37)

1 + 3 1 3
+
sin .
2
2

(3.38)

=
and
n =

which can be obtained from geometrical considerations (Figure 3.24).


This results in

76

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

1 3
1 + 3 1 3
cos = c {
+
sin .} tan .
2
2
2
(1 3 ) = 2c cos (1 + 3 ) sin

(3.39)
(3.40)

and
(1 + 3 ) sin + (1 3 ) 2c cos = 0.
From above, using the relationships between principal stresses and invariants, it is easy
to obtain
1
I1 sin +
3

1
J2 {cos sin sin } c cos = 0.
3

(3.41)

Figure 3.23: Tresca criterion for plane stress conditions. [32]


The Mohr-Coulomb criterion is represented in the space of principal stresses as a hexagonal
pyramid, which has been depicted in Figure 3.25.

3.6.2

Consistency condition for strain hardening materials

If we assume that the material hardening is of strain type, there will exist a law relating
the increments of and

3.6. HARDENING, SOFTENING AND FAILURE

77

Figure 3.24: Mohr-Coulomb, geometrical conditions in Mohr-Circle. [32]

Figure 3.25: Mohr-Coulomb yield surface. [32]

d = d(dp )

(3.42)

Assuming that yielding occurs on the yield surface given by

df (, ) = 0.

(3.43)

f
f
: d +
: d = 0

(3.44)

and hence

This can be rewritten using 3.42 as

78

CHAPTER 3. FOUNDATION OF CONSTITUTIVE MATERIAL MODELS

f
f
: d +
:
: dp = 0

(3.45)

If, in the above expression, we substitute dp it gives


f
f
1
: d +
: p : ngL (
n : d) = 0


HL

(3.46)

This expression can be further developed to


(

f
1
f g 1 f
: d) + f g (
:
)
(
: d) = 0
:

| |.| | p HL
HL =

:
( f

g
)

f
g
|
|.|
|

(3.47)

Using the alternative vector notation, the above expression is written as

HL =

( f
. . g )
p
f
g
|
|.|
|

(3.48)

where /p is a square matrix.


Local failure conditions or continuing deformation at a constant stress state can happen
whenever HL = 0, which corresponds to:
g
.
=0
p

(3.49)

for which either of the following conditions have to be fulfilled


(a)

= 0(saturation)
p

(3.50)

or
(b)

g
.
= 0 with
p

= 0.
p

(3.51)

4 Linear Elasticity and Failure


Criteria for Concrete
4.1

Constitutive Modelling of Concrete

Computational approaches to the integrity assessment of structural masonry are currently


conducted by variety of methodologies, ranging from highly simplified methods to complex
nonlinear finite element analysis using plasticity based material models, including joint
and interface elements to model planes of weaknesses. Most frameworks rely on the
nonlinear continuum or homogenisation based techniques. In order to understand the
material models used for the masonry modelling it is necessary to look inside the general
picture of non-linear material models. In the current situation there is not properly
determined material model for the masonry. However, the behaviour of masonry can
be grouped in the behaviour of granular materials. When granular material is said, we
consider the concrete simultaneously. Since almost one hundred years there are many
researches done to determine the exact material behaviour of concrete. Consequently,
as a result of many useful works we can simulate the concrete accurately. If we assume
masonry behave similar as the concrete, then we can use concrete material models for the
masonry. The finite element methodology that is used for masonry is mainly based on the
behaviour of quasi-brittle materials. In most cases, these models are (closely) related to
the constitutive models used for concrete or rock material.
A mathematical description of the material behaviour, which yields the relation between
the stress and strain tensor in a material point of the body, is necessary for this purpose.
This mathematical description is commonly named a constitutive model. The approaches
for defining the complicated stressstrain behaviour of concrete under various stress states
can be divided in three main groups:
1 Linear Elasticity
79

80CHAPTER 4. LINEAR ELASTICITY AND FAILURE CRITERIA FOR CONCRETE


2 Non-linear Elasticity
3 Linear-perfect plasticity
And all these constitutive groups has to contain simulation of concrete failure. Therefore
we can show the failure criteria as a common group as below:

Linear elasticity

Constitutive models
Constitutive models Failure
(cracking and crushing) Criteria

Non-linear elasticity

One-parameter model
Two-parameter model

Linear-perfect plasticity

4.2
4.2.1

Improved failure model

Mechanical Behaviour of Concrete


Linear Elasticity

Although it has many shortcomings, the linear elasticity theory is the one very commonly
used material model for concrete. One of the most important characteristics of concrete is
its low tensile strength, which result in tensile cracking at low stress compared with compressive stresses. The tensile cracking reduces the stiffness of the concrete and is usually
the major contributor to the non-linear behaviour of concrete structures. The accurate
modelling of cracking behaviour of concrete is undoubtedly the most important factor,
and linear elastic fracture models have been developed and used by many researchers to
study the non-linear response of concrete. The sudden strain softening property of the
elastic brittle-fracture behaviour of concrete is a tensile-stress field induces the cracking
and causes sudden changes in local stress levels.

4.2.2

Nonlinear Elasticity

The linear elastic models can be significantly improved by assuming a non-linear elastic
stress-strain relationship in secant-modulus form. The most used models of this class
is the hyperplastic type of formulation which approximate a path independent reversible

4.2. MECHANICAL BEHAVIOUR OF CONCRETE

81

process with no memory. The non-linear elastic assumption has better results than linearelastic because the it can at least simulate the compression part of the concrete stressstrain path smoothly. As we know the non-linear response of concrete under compression
forces mainly depend on this path.

4.2.3

Linear Perfectly Plastic

For the compressive failure, the material shows an elastic behaviour up to point A (Figure
4.1), after which the material is weakened by the internal micro cracks. The micro cracking
procedure continues in the path of BC with becoming macro cracks. The nonlinear
deformations are basically plastic, in other word upon unloading only the portion of
elastic strain (Ee) can be recovered from the total strain (plastic strain+ elastic strain,
Ep+ Ee)(Figure 4.1). The phenomenon in the region AB and region BC corresponds to
behaviour of a work-hardening and softening solid.

Micro Cracking

Elastic

Figure 4.1: Uniaxial compression stress-strain curve of concrete. [31]

For the tensile failure, the behaviour is linearly elastic up to the failure load. At the
tension failure zone, the maximum stresses coincide with the maximum strains, and no
plastic strains occur at the failure moment.

82CHAPTER 4. LINEAR ELASTICITY AND FAILURE CRITERIA FOR CONCRETE

4.3

Failure Criteria

The strength of concrete under multiaxial stresses is a function of the state of stress and
cannot be predicted by limitation of simple tensile, compressive and shearing stresses
independently of each other. For example, concrete with a uniaxial compressive strength
of fc and pure shearing strength of 0.08fc would fail under compressive stress of 0.5fc
with the increasing shear stress at 0.2fc . Therefore, strength of concrete elements can be
properly determined only by considering the interaction of the various components of the
state stresses. There are many failure criteria proposed in the past. Here only some of
them will be explained. Although the failure behaviour of concrete is very complex the
well known Coulomb criterion combined with tension cutoff can be appropriate way to
solve some problems. In addition to Coulomb one-parameter and two-parameter simple
failure models can be also used. The more complicated models with four, five, six etc.
parameters can be convenient for high speed computer applications. The tomb of the rule
the increasing complexity in the model increase the cost of calculation but reduce the
inaccuracy.

4.3.1

OneParameter Model

The failure surface of concrete is the three coordinate axes of principal stress has a triangular cross section for small stresses and becomes increasingly more circular for higher
mean compressive stresses. In addition, the failure modes of concrete in these two regions
are different. Under tensile and small compressive type of stresses, concrete will fail by a
brittle fracture with very little plastic flow before failure. Under high hydrostatic pressure,
concrete can yield and flow like a ductile material on the failure. There are several simple
one parameter failure criteria of fracture for brittle materials and of also for yielding of
ductile materials.

4.3.1.1

Rankine Criterion

According to this criterion, brittle failure of concrete takes place when the maximum
principal stress at a point inside the material reaches a value equal to the tensile strength
of the material as found by the simple tension test without applying compression or shear
forces. Similarly, the compression failure occurs if the applied compression force exceed
the compression capacity of material, Figure 4.2.

4.3. FAILURE CRITERIA

83

Tension

Pressure

Figure 4.2: Rankine failure criteria, the failure takes place if any principal stress exceed
the strength. [31]
4.3.1.2

Shearing-stress Criteria ( von Mises)

For granular materials (rock, concrete, masonry) hydrostatic pressure has a large effect on
the shearing strength of the material. For concrete in the high pressure range, the effect
of hydrostatic pressure on the yield value of material may be neglected. It follows that
shearing stress must be the major cause of yielding of concrete at high pressure. In the
below figure 4.3, two shearing stress criteria are shown, the dashed line is the maximum
shear criteria which is proposed by Tresca. The other circular one is the von Misses shear
criteria. Tresca model is more conservative than the von Misses criteria.

Figure 4.3: One-parameter shear failure criteria, the dashed line is the Tresca criteria and
the outer ellipse line is the von Misses criteria. [31]

84CHAPTER 4. LINEAR ELASTICITY AND FAILURE CRITERIA FOR CONCRETE

4.3.2

TwoParameter Model

In two-parameter criterias the yielding of concrete under hydrostatic pressure in compression zone and fracture property in tension zone are combined, or we can say also the von
Misses yield criterion is extended by including the effect of hydrostatic pressure on the
shearing resistance of the material.

4.3.2.1

Mohr-Coulomb Criterion

According to Mohrs criterion failure of material will occur for the all stress states for which
the largest of Mohr circle is just tangent to the envelope (Figure 4.4). This means that
the intermediate principal stresses have no influence on the failure. The failure envelope
has the formulas
S = k + N tan()

(4.1)

with:
S = shear stress capacity
k = cohesion
N = compression positive, tension negative
= internal friction angle of material
This angle of repose is low when grains are smooth, coarse or
rounded, and, it is high for sticky, sharp, or very fine particles.
Typically, it is between 15o and 45o . Experiments suggest that this
coefficient of friction drops when motions begins, i.e., the kinetic
friction coefficient is less than the static coefficient. However, no
data exist for granular material, and the universal assumption is
that the kinetic and static coefficient of friction are more and less
equal.

4.3.2.2

DruckerPrager Criterion

DruckerPrager is a model which is modification of the MohrCoulomb by using von


Misses yield criterion. The main difference between MohrCoulomb and DruckerPrager
is the shape of the failure surfaces, in MohrCoulomb it is hexagonal and in Drucker
Prager it is more smooth similar to circle.

4.3. FAILURE CRITERIA

85

Figure 4.4: Mohr-Coulomb model. [31]


4.3.2.3

Cracking of Concrete

The tension failure of concrete is characterised by a gradual growth of cracks, which join
together and finally disconnect larger parts of the structure. It is a usual assumption
that forming cracks is a brittle process and the strength in the tension-loading direction
abruptly goes to zero after big cracks or it can be simulated with gradually decreasing
strength as shown in below figure 4.7.
The cracked concrete material is generally modelled by a linear-elastic fracture relationship. Two fracture criteria are commonly used, the maximum principal stress and the
maximum principal strain criterions. When a principal stress or strain exceeds its limiting
value, a crack is assumed to occur in a plane normal to the direction of the principal stress
or strain. Then this crack direction is fixed in the next loading sequences. In the finite
element analysis there are three type of crack models.
1 Smearedcrack model
2 Discretecrack model
3 Fracturecrack model
If overall load deflection behaviour is desired, without regard to completely realistic crack
patterns and local stresses, the smearedcrack model is the best choice. If the detailed

86CHAPTER 4. LINEAR ELASTICITY AND FAILURE CRITERIA FOR CONCRETE

Figure 4.5: Failure surface differences of Druker-Prager and Mohr-Coulomb plastic models. [31]

Figure 4.6: Failure surfaces of Drucker-Prager: (left) 3D stress space; (right) 2D stress
plane (crosssection). [31]
local behaviour is of interest, the discretecrack model can be used. For the special class
of problems in which the fracture mechanisms is the tool, a specialised fracture model may
be more useful. For most structural engineering applications, the smearedcrack model
is chosen.

4.4

Reinforcement

The use of iron in order to reinforce concrete structures dates back to the end of the
last century and marks the birth of reinforced concrete construction. In the beginning,
there were several reinforcement systems, using different shapes and types of iron or steel.
Common reinforcement types today are deformed steel bars of circular crosssection for

4.4. REINFORCEMENT

87

Figure 4.7: Strength of concrete under tension load: Abruptly loss of strength and gradually decreasing strength. [31]

passive reinforcement and steel bars, wires or sevenwire strands for prestressed reinforcement. The deformation capacity of structural concrete elements, an important aspect in
the design of such structures, mainly depends on the ductility of the reinforcement, and
structural concrete elements are generally designed such that failure will be governed by
yielding of the reinforcement. Therefore, ductility of the reinforcement is as essential
to structural concrete as its strength. Much research has been conducted over the past
decades in the field of nonmetallic reinforcement, including glass, carbon and aramid
fibres. Randomly distributed glass fibres result in smaller crack widths and hence, better serviceability. If glass fibres alone are used as reinforcement, very high quantities of
fibres are required in order to achieve desired resistances, and the work ability of the
concrete-glass fibre mix becomes troublesome. Glass fibres are therefore mainly used for
crack-control in prefabricated nonstructural elements; steel fibres can also be applied for
this purpose, but they are less suitable due to corrosion problems. Carbon and aramid
fibres have higher strengths than steel while their weight is considerably lower, and they
do not corrode; such materials are potentially interesting for use in long-span structures,
preferably as prestressing cables. However, such fibres are brittle, i.e., their response in
axial tension is almost perfectly linear elastic until rupture, and they are sensitive to
lateral forces, which complicates their application. In addition, carbon and aramid fibres
are relatively expensive. A 50m carbon or aramid fibre post-tensioning cable, including
anchors, is 3. . . 10 times more expensive today than a steel cable of equal resistance, and
6. . . 25 times more than one of equal stiffness [20].

88CHAPTER 4. LINEAR ELASTICITY AND FAILURE CRITERIA FOR CONCRETE

4.4.1

Reinforcing Steel

Two basically different types of stress-strain characteristics of reinforcing steel can be


distinguished. The response of a hot-rolled, low-carbon or micro-alloyed steel bar in
tension, Figure 4.8 (a), exhibits an initial linear elastic portion, s = Es s , a yield
plateau (i.e., a yield point at s = fsy beyond which the strain increases with little or
no change in stress), and a strain-hardening range until rupture occurs at the tensile
strength, s = fsu . Various steel grades are usually defined in terms of the yield strength
fsy . The extension of the yield plateau depends on the steel grade; its length generally
decreases with increasing strength. Cold-worked and high-carbon steels, Figure 4.8 (b),
exhibit a smooth transition from the initial elastic phase to the strain-hardening branch,
without a distinct yield point.

Figure 4.8: Stress-strain characteristics of reinforcement in uniaxial tension: (a) hotrolled, heat-treated, low-carbon or micro-alloyed steel; (b) cold-worked or
high-carbon steel; (c) bilinear idealisation.[20]
The yield stress of steels lacking a well-defined yield plateau is often defined as the stress
at which a permanent strain of 0.2% remains after unloading, Figure 4.8 (b); alternatively, the yield strain sy can directly be specified. The modulus of elasticity, Es , is
roughly equal to 205GP a for all types of steel, while yield stresses typically amount to
400...600M P a. Unloading at any point of the stress-strain diagram occurs with approximately the same stiffness as initial loading. The elongation in the strain-hardening range
occurs at constant volume (Poissons ratio = 0.5), resulting in a progressive reduction of
the cross-sectional area. Steel stresses, in particular the tensile strength fsu , are usually
based on the initial nominal cross-section; the actual stresses acting on the reduced area
at the ultimate state may be considerably higher.

4.4. REINFORCEMENT

89

A bilinear idealisation of the stress-strain response of reinforcement will frequently be


applied. Using the notation of Figure 4.8 (c), the strain- hardening modulus Es h is given
by

Esh =

fsu fsy
,
su sy

(4.2)

where sy = fsy /Es = yield strain and su= rupture strain of reinforcement. The rupture
strain su and the ratio of tensile to yield strength, fsu /fsy , are measures of the ductility
of the steel. Hot-rolled, low-carbon or micro-alloyed steel exhibiting a stress-strain characteristic as shown in Figure 4.8 (a) typically has higher ratios of fsu /fsy and considerably
larger rupture strains su than cold-worked or high-carbon steel, Figure 4.8 (b).

4.4.2

Interaction of Concrete and Reinforcement

4.4.2.1

Bond

If relative displacements of concrete and reinforcement occur, bond stresses develop at


the steel-concrete interface. The relative displacement or slip is given by = us uc ,
where us and uc denote the displacements of reinforcement and concrete, respectively. The
magnitude of the bond stresses depends on the slip as well as on several other factors,
including bar roughness (size, shape and spacing of ribs), concrete strength, position
and orientation of the bar during casting, concrete cover, boundary conditions, and state
of stress in concrete and reinforcement. Bond stresses are essential to the anchorage
of straight rebars, they influence crack spacings and crack widths and are important if
deformations of structural concrete members have to be assessed. A detailed investigation
of bond and tension stiffening, including prestressed reinforcement and deformations in
the plastic range of the steel stresses, can be found in a recent report by [2].
Bond action is primarily due to interlocking of the ribs of profiled reinforcing bars and
the surrounding concrete; stresses caused by adherence (plain bars) are lower by an order
of magnitude. Forces are primarily transferred to the surrounding concrete by inclined
compressive forces radiating out from the bars. The radial components of these inclined
compressive forces are balanced by circumferential tensile stresses in the concrete or by
lateral confining stresses. If significant forces have to be transmitted over a short embedment length by bond, splitting failures along the reinforcement will occur unless sufficient
concrete cover or adequate circumferential reinforcement is provided; this effect is called

90CHAPTER 4. LINEAR ELASTICITY AND FAILURE CRITERIA FOR CONCRETE

Figure 4.9: Bond behaviour: (a) pull-out test; (b) bond shear stress-slip relationship; (c)
differential element.[20]
tension splitting. In a simplified approach, the complex mechanism of force transfer between concrete and reinforcement is substituted by a nominal bond shear stress uniformly
distributed over the nominal perimeter of the reinforcing bar. Bond shear stress-slip relationships, Figure 4.9 (b), are normally obtained from pull-out tests as shown in Figure
4.9 (a). The average bond shear stress along the embedment length lb can be determined
from the pullout force as

b =

F
,
lb

(4.3)

where = nominal diameter of reinforcing bar. In a pull-out test, bond shear stresses
increase with the slip until the maximum bond shear stress bmax (bond strength) is
reached, typically at a slip = 0.5, ...1mm if the slip is further increased, bond shear
stresses decrease, Figure 4.9 (b). Equilibrium requires that for any section of a structural
concrete element loaded in uniform tension, Figure 4.9 (c),

N = As s + Ac c ,

N
(1 )
= s +
c ,
As

(4.4)

where = As /Ac geometrical reinforcement ratio, As cross-section area of reinforcement


and Ac cross-section area of concrete. Formulating equilibrium of a differential element
of length dx, Figure 4.9 (c), one obtains the expression
4b
ds
=
,
dx

dc
4b
=
dx
(1 )

(4.5)

4.4. REINFORCEMENT

91

for the stresses transferred between concrete and reinforcement by bond. Furthermore,
the kinematic condition
d
d
=
[us uc ] = s c
dx
dx

(4.6)

is obtained from Figure 4.9 (c) if plane sections are assumed to remain plane. Differentiating Eq. 4.6 with respect to x, inserting Eq. 4.5 and substituting stress-strain relationships
for steel and concrete, a second order differential equation for the slip is obtained. Generally, the differential equation has to be solved in an iterative numerical manner. For
linear elastic behaviour, s = Es s and c = Ec c , one gets
d2
4b
n
=
(1 +
)
2
dx
Es
1

(4.7)

where n = Es /Ec = modular ratio; Eq. 4.7 can be solved analytically for certain bond
shear stress-slip relationships.

4.4.2.2

Tension Stiffening

The effect of bond on the behaviour of structural concrete members loaded in tension is
called tension stiffening, since after cracking the overall response of a structural concrete
tension chord is stiffer than that of a naked steel bar of equal resistance.

Figure 4.10: Tension stiffening: (a) chord element; (b) qualitative distribution of bond
shear stresses, steel and concrete stresses and strains, and bond slip.[20]

92CHAPTER 4. LINEAR ELASTICITY AND FAILURE CRITERIA FOR CONCRETE


The behaviour of a structural concrete tension chord can be described by a chord element
bounded by two consecutive cracks, Figure 4.10 (a). The distribution of stresses and
strains within the chord element is shown in Figure 4.10 (b) for the symmetrical case, i.e.,
equal tensile forces N acting on both sides of the element. At the cracks, concrete stresses
are zero and the entire tensile force is carried by the reinforcement, sr = N/As . Away
from the cracks, tensile stresses are transferred from the reinforcement to the surrounding
concrete by bond shear stresses according to 4.5. In the symmetrical case, bond shear
stresses and slip vanish at the center between cracks; there, reinforcement stresses are
minimal, and the concrete stresses reach their maximum value. For a given applied
tensile force, the distribution of stresses and strains, Figure 4.10 (b), can be deter- mined
for arbitrary bond shear stress-slip and stress-strain relationships from 4.5 and 4.6.
Integration of the differential equation corresponds to solving a boundary problem since
certain conditions have to be satisfied at both ends of the integration interval. For equal
tensile forces N acting on both sides of the element, integration may start at the centre
between cracks, where the initial conditions us = uc = 0 are known for symmetry reasons;
as a boundary condition, the concrete stresses at the cracks must vanish. Alternatively,
integration starting at the crack is possible, exchanging the initial and boundary conditions mentioned above. If the tensile force varies along the chord element, the section
at which us = uc = 0 is not known beforehand and the solution is more complicated;
suitable algorithms and a detailed examination are given in a recent report by [2]. Apart
from a general discussion of tension stiffening effects in the web of concrete girders, only
the symmetrical case with equal tensile forces N acting on both sides of the element will
be applied here.
Observing that the concrete tensile stresses cannot be greater than the concrete tensile
strength fct , one obtains the requirement

4
(1 )

srmo /2

b dx fct

(4.8)

x=0

for the maximum crack spacing srmo in a fully developed crack pattern. The minimum
crack spacing amounts to srmo /2 since a tensile stress equal to the concrete tensile strength
must be transferred to the concrete in order to generate a new crack. Hence, the crack
spacing srm in a fully developed crack pattern is limited by
srmo
srm srmo
2
or, equivalently, 0.5 1 , where

(4.9)

4.4. REINFORCEMENT

93

srm
srmo

(4.10)

For most applications, only the overall response of the chord element is needed, while
the exact distribution of stresses and strains is not of primary interest. Simple stressstrain and bond shear stress-slip relationships can therefore be adopted, provided that
the resulting steel stresses and overall strains of the chord element reflect the governing
influences and match the experimental data.

Figure 4.11: Tension chord model: (a) stress-strain diagram for reinforcement; (b) bond
shear stress-slip relationship; (c) chord element and distribution of bond
shear, steel and concrete stresses, and steel strains.[20]
For this purpose, [33] proposed to use a bilinear stress-strain characteristic for the reinforcement and a stepped, rigid-perfectly plastic bond shear stress-slip relationship, Figs.
4.11 (a) and (b). This idealisation has been called tension chord model. For the bond

94CHAPTER 4. LINEAR ELASTICITY AND FAILURE CRITERIA FOR CONCRETE


shear stresses prior to and after the onset of yielding of the reinforcement,b0 = 2fct and
b1 = 2fct is assumed, respectively, where fct = tensile strength of concrete.

5 Soil and Geomechanics


5.1

Introduction

In its most general sense, soil refers to the un-aggregated or un-cemented granular material
consisting of both mineral and organic particles. In many materials classified as soil,
cementing between grains may exist to some slight degree and therefore may contribute
to the mechanical characteristics. Soils are aggregates of mineral particles, and together
with air and/or water in the void spaces, they form three-phase systems. A large portion
of the earths surface is covered by soils, and they are widely used as construction and
foundation materials. Soil mechanics is the branch of engineering that deals with the
engineering properties of soils and their behaviour under stress.

Figure 5.1: Examples of geotechnical engineering constructions [3]

5.1.1

Effective Stresses

It is obvious that ground movements and instabilities can be caused by changes of total
stress due to loading of foundations or excavation of slopes. What is perhaps not so
95

96

CHAPTER 5. SOIL AND GEOMECHANICS

obvious is that ground movements and instabilities can be caused by changes of pore
pressure. For example, stable slopes can fail after rainstorms because the pore pressures
rise due to infiltration of rainwater into the slope while lowering of groundwater due to
water extraction causes ground settlements. (Some people will tell you that landslides
occur after rainfall because water lubricates soil; if they do, ask them to explain why damp
sand in a sandcastle is stronger than dry sand.) If soil compression and strength can be
changed by changes of total stress or by changes of pore pressure there is a possibility
that soil behaviour is governed by some combination of and u. This combination should
be called the effective stress because it is effective in determining soil behaviour. The
relationship between total stress, effective stress and pore pressure was first discovered by
Terzaghi (1936). He defined the effective stress in this way:
All measurable effects of a change of stress, such as compression, distortion and a change
of shearing resistance, are due exclusively to changes of effective stress. The effective
stress is related to the total stress and pore pressure u by = u

Figure 5.2: Mohr circles of total and effective stress [3]


Figure 5.2 shows Mohr circles of total stress and effective stress plotted on the same axes.
Since 1 = 1 u and 3 = 3 u the diameters of the circles are the same. The points
T and E represent the total and effective stresses on the same plane and clearly total and
effective shear stresses are equal. Therefore, effective stresses are

=u

(5.1)

5.2. MECHANICAL BEHAVIOUR OF SOILS

97

(5.2)

5.1.2

Total Stress

The total stress is equal to the overburden pressure or stress, which is made up of the
weight of soil vertically above the plane, together with any forces acting on the soil surface
(e.g. the weight of a structure). Total stress increases with increasing depth in proportion
to the density of the overlying soil.

5.2

Mechanical Behaviour of Soils

Although the concept of effective stress in soils is accepted by all soil mechanicians,
practical predictions and engineering calculations are traditionally based on total stress
approaches. The application of numerical approaches (in the early 70th) to the field
of soil mechanics in general and to soil dynamics in particular, it became clear that a
realistic prediction of the behaviour of soil masses could only be achieved if the total
stress approaches were abandoned. The essential model should consider the coupled
interaction of the soil skeleton and of the pore fluid. Indeed, the phenomena of weakening
and of liquefaction in soil when subjected to repeated loading such as that which occurs
in earthquakes (Figure 5.3), can only be explained by considering this two-phase action
and the quantitative analysis and prediction of real behaviour can only be achieved by
sophisticated computation. The simple limit methods often applied in statics are no
longer useful.
The engineer designing such soil structures as embankments, dams, or building foundations should be able to predict the safety of these against collapse or excessive deformation under the various loading conditions which are deemed possible. On occasion he
may have to apply his predictive knowledge to events in natural soil or rock outcrops,
subject perhaps to new, man-made conditions. Typical of this is the disastrous collapse
of the mountain (Mount Toc) bounding the Vajont reservoir which occurred on October
9th 1963 in Italy [32]. Figure 5.4 shows both a sketch indicating the extent of failure
and a diagram indicating the cross-section of the encountered ground movement. In the
above collapse, the evident cause and the straw that broke the camels back was the
filling and the subsequent draw down of the reservoir. The phenomenon proceeded essentially in a static (or quasi-static) manner until the last moment when the moving mass

98

CHAPTER 5. SOIL AND GEOMECHANICS

Figure 5.3: Niigata earthquake, Japan 1964. Liquefaction of sand and overturning of
buildings.[32]
of soil acquired the speed of an express train at which point it tumbled into the reservoir, displacing the water dynamically and causing an unprecedented death toll of some
4000 people from the neighbouring town of Longarone. Such static failures which occur,
fortunately at a much smaller scale, in many embankments and cuttings are subjects of
typical concern to practising engineers. However, dynamic effects such as those frequently
caused by earthquakes are more spectacular and much more difficult to predict.
It is evident that the examples quoted so far involved the interaction of pore water pressure
and the soil skeleton. Perhaps the particular feature of this interaction, however, escapes
immediate attention. This is due to the weakening of the soilfluid composite during
the periodic motion such as that which is involved in an earthquake.

5.2.1

The Nature of Soils and other Porous Media

For single-phase media such as those encountered in structural mechanics, it is possible


to predict the ultimate (failure) load of a structure by relatively simple calculations, at
least for static problems. Similarly for soil mechanics problems such simple, limit-load
calculations, are frequently used under static conditions, but even here, full justification of

5.2. MECHANICAL BEHAVIOUR OF SOILS

99

Figure 5.4: The Vajont reservoir, failure of Mant Toc in 1963 (Oct. 9th): (a) hypothetical
slip plane; (b) downhill end of slid [32]

such procedures is not generally valid. However, for problems of soil dynamics, the use of
such simplified procedures is almost never admissible. The reason for this lies in the fact
that the behaviour of soil or such a rock-like material as concrete, in which the pores of
the solid phase are filled with one fluid, cannot be described by behaviour of a single-phase
material. Indeed to some it may be an open question whether such porous materials as
shown in Figure 5.5 can be treated at all by the methods of continuum mechanics. Here
we illustrate two apparently very different materials. The first has a granular structure of

100

CHAPTER 5. SOIL AND GEOMECHANICS

loose, generally uncemented, particles in contact with each other. The second is a solid
matrix with pores which are interconnected by narrow passages.
Using the concept of effective stress, it is possible to reduce the soil mechanics problem
to that of the behaviour of a single phase, once all the pore pressures are known. Then
we can use again the simple, single-phase analysis approaches.

Figure 5.5: Various idealised structures of fluid saturated porous solids: (a) a granular
material; (b) a perforated solid with interconnecting voids. [32]

Figure 5.6: Two fluids in pores of a granular solid (water and air). (a) air bubble not
wetting solid surface (effective pressure p = pw ; (b) both fluids in contact
with solid surfaces (effective pressure p = Xw pw + Xa pa . [32]

5.2. MECHANICAL BEHAVIOUR OF SOILS

5.2.2

101

Common Soil Tests

The following section gives an overview about common tests, to determine soil properties
and to get parameters for the material models. There are tests with dry material samples
and under wet conditions. Some test are performed to determine time dependent material
behaviour. There are some aspects of material behaviour like relaxation, which are not
yet predictable exactly. Another area of time dependent models are the time rate dependent formulations. Some applications, especially the bulk solids handling for process
engineering, are dealing with higher movements of the solids. Aspects like fluidisation
and movement of gas phase through the particles are on interest.
The shear test is the basic test for soil and bulk solid investigations. The test can be
run with wet or dry samples, mostly samples with in situ conditions. One can determine
the friction angle which is the main characteristic value of soil and bulk solids. It is
correlated with the angle of response for dry material like sand and granular material
(pile of sand). In figure 5.7 the Jenicke shear cell is pictured. The lower part of the cell
is a pot (diameter around 10 cm) and the upper part is a ring with the same diameter.
After filling the pot and ring with the sample, a vertical force is applied on the top of
the lid. A force from side on the top of device effects a movement of the ring and lid.
A shear deformation of the sample takes place. One can measure the normal stress, the
shear stress and the displacement of the sample. A typical graph from that standard
shear test for dry soil samples and bulk solids, is figured in picture 5.8.

Figure 5.7: Jenike Shear Tester for Soil Samples

102

CHAPTER 5. SOIL AND GEOMECHANICS

Figure 5.8: Interpretation of Jenike Shear Test for Soil Samples


The triaxial test is a common test from the soil mechanics to determine the characteristic
parameter in soil engineering and substructure design. The sample is given into a elastic
rubber cover and placed into a vessel which is filled with a fluid. There is a given pressure
in that fluid, so the stress is 2 = 3 and the vertical stress 1 is variable. The fluid
pressure can represent the in situ conditions of that specific underground problem. In
figure 5.9 (left) a undeformed and deformed sample is shown. The top and bottom plates
are undeformable. The picture in figure 5.10 shows a laboratory arrangement of a triaxial
tester. In figure 5.9 (right) the principle arrangement of stiff plates for a triaxial tester
are given. This kind of tester is high complicated to build, to fill and to measure.

Figure 5.9: Triaxial Test: (left) with fluid pressure; (right) with deformation free walls.
[5]
With the Biaxial Tester it is possible to determine sophisticated and specific parameters for bulk solids in process engineering. The device allows to deform the sample on a

5.2. MECHANICAL BEHAVIOUR OF SOILS

103

Figure 5.10: Triaxial Tester with fluid pressure.


stress or a strain dependent path. So, one can investigate the behaviour under different
stress and deformation situations. The time dependent material behaviour like relaxation
can be determined well with that device. The costs for test are high, so the practice
shows, that only few models are dealing with results (parameters) out of this tester.

Figure 5.11: Biaxial tester, Institute of Process Engineering, TU-Braunschweig, Prof.


Quade. [5]
All the tests require a precise and accurate handling. It is important to fill the sample in
a specific manner into the device, to make the results repeatable. It is not natural that
the measurement is exact the same all the time, so, there are test around the world at
different laboratories with the same sample and devices, to cross check the methods, how

104

CHAPTER 5. SOIL AND GEOMECHANICS

to fill the samples and how to apply the measurement devices.


With the oedometric compression test one can determine the porosity of a soil and bulk
solid sample. The tester is drained, so the fluids (like water or air) can flow out of the
pores. See figure 5.12 for a principle set up of that test device. A typical plot of the
porosity over the normal pressure is given in figure 5.13. One can calculate different
parameters from that plot for material models which depend on the porous number of a
material.
Load

Cap
Ring Cell

Filter

Soil Sample

Ground Plate (with drainage)

Figure 5.12: Pressure (Oedometric pressure) tester, Institute of Process Engineering, TUBraunschweig, Prof. Schwedes, 1998. [5]
e
ep1

Cc1
1

ep2

Cc2
ln(ps1 )

ln(ps2 )

ln(p)

Figure 5.13: Compression Diagram (Oedometric Tester): Determination of Compression Module Cc of Soil with various pressure ps = 13 tr(T). [5]

5.2.3

Stress Path

Results of triaxial tests can be represented by diagrams called stress paths. A stress path
is a line connecting a series of points, each point representing a successive stress state
experienced by a soil specimen during the progress of a test. There are several ways in
which the stress path can be drawn, two of which are discussed below.

5.2. MECHANICAL BEHAVIOUR OF SOILS


5.2.3.1

105

Rendulic Plot

A Rendulic plot is a plot representing the stress path for triaxial tests originally suggested
by Rendulic (1937) and later developed by Henkel (1960). It is a plot of the state of stress

during triaxial tests on a plane Oabc , as shown in Figure 5.14. Along Oa , we plot 2r ,
and along Oc , we plot a ( r is the effective radial stress and a the effective axial stress).
Line Od in Figure 5.15 represents the isotropic stress line. The direction cosines of this

line are the 1/ 3, 1/ 3, 1/ 3. Line Od in Figure 5.15 will have a slope of 1 vertical to

2 horizontal. Note that the trace of the octahedral plane 1 + 2 + 3 = const will be
at right angles to the line Od .

Figure 5.14: Rendulic Plot [10]


In triaxial equipment, if a soil specimen is hydrostatically consolidated (i.e., a = r ), it
may be represented by point 1 on the line Od . If this specimen is subjected to a drained
axial compression test by increasing a and keeping r constant, the stress path can be
represented by the line 12. Point 2 represents the state of stress at failure. Similarly,
Line 13 will represent a drained axial compression test conducted by keeping a

106

CHAPTER 5. SOIL AND GEOMECHANICS

Figure 5.15: Rendulic Diagram [10]


constant and reducing r .
Line 14 will represent a drained axial compression test where the mean principal
stress (or J = 1 + 2 + 3 ) is kept constant.
Line 15 will represent a drained axial extension test conducted by keeping r
constant and reducing a .
Line 16 will represent a drained axial extension test conducted by keeping a
constant and increasing r .
Line 17 will represent a drained axial extension test with J = 1 + 2 + 3 constant
(i.e., J = a + 2r = const).
Curve 18 will represent an undrained compression test.
Curve 19 will represent an undrained extension test.
Curves 18 and 19 are independent of the total stress combination, since the pore
water pressure is adjusted to follow the stress path shown.

5.2. MECHANICAL BEHAVIOUR OF SOILS

107

If we are given the effective stress path from a triaxial test in which failure of the specimen
was caused by loading in an undrained condition, the pore water pressure at a given state
during the loading can be easily determined. This can be explained with the aid of Figure
5.16. Consider a soil specimen consolidated with an encompassing pressure r and with
failure caused in the undrained condition by increasing the axial stress a . Let acb be the
effective stress path for this test. We are required to find the excess pore water pressures
that were generated at points c and b (i.e., at failure). For this type of triaxial test, we
know that the total stress path will follow a vertical line such as ae. To find the excess
pore water pressure at c, we draw a line cf parallel to the isotropic stress line. Line cf
intersects line ae at d. The pore water pressure ud at c is the vertical distance between
points c and d. The pore water pressure ud(f ailure) at b can similarly be found by drawing
bg parallel to the isotropic stress line and measuring the vertical distance between points
b and g.

Figure 5.16: Determination of pore water pressure in a Rendulic plot [10]

5.2.3.2

Lambes stress path

Lambe (1964) suggested another type of stress path in which are plotted the successive
effective normal and shear stresses on a plane making an angle of 45o to the major principal plane. To understand what a stress path is, consider a normally consolidated clay
specimen subjected to a consolidated drained triaxial test (Figure 5.17(a). At any time

108

CHAPTER 5. SOIL AND GEOMECHANICS

during the test, the stress condition in the specimen can be represented by Mohrs circle
(Figure 5.17(b).

Figure 5.17: Definition of stress path [10]


Note here that, in a drained test, total stress is equal to effective stress. So
3 = 3

(minor principal stress)

1 = 3 + = 1

(major principal stress)

(5.3)

At failure, Mohrs circle will touch a line that is the MohrCoulomb failure envelope;
this makes an angle with the normal stress axis ( is the soil friction angle). We now
consider the effective normal and shear stresses on a plane making an angle of 45o with
the major principal plane. Thus
1 + 3
2
1 3
Shear stress, q =
2

Effective normal stress, p =

(5.4)
(5.5)

5.2. MECHANICAL BEHAVIOUR OF SOILS

109

The points on Mohrs circle having coordinates p and q are shown in Figure 5.17(b). If
the points with p and q coordinates of all Mohrs circles are joined, this will result in the
line AB. This line is called a stress path. The straight line joining the origin and point B
will be defined here as the Kf line. The Kf line makes an angle with the normal stress
axis. Now
(1(f) 3(f) )/2
BC
=
OC
(1(f) + 3(f) )/2

tan =

(5.6)

where 1(f) and 3(f) are the effective major and minor principal stresses at failure. Similarly,

sin =

(1(f) 3(f) )/2


DC
=
OC
(1(f) + 3(f) )/2

(5.7)

From Eqs. (5.6) and (5.7), we obtain


tan = sin

(5.8)

For a consolidated undrained test, consider a clay specimen consolidated under an


isotropic stress 3 = 3 in a triaxial test. When a deviator stress is applied on
the specimen and drainage is not permitted, there will be an increase in the pore water
pressure, u (Figure 7.41a):
u = A

(5.9)

where A is the pore water pressure paramenter.


At this time the effective major and minor principal stresses can be given by

Minor effective principal stress = 3 = 3 u


Major effective principal stress = 1 = 1 u = (3 + ) u

(5.10)

Mohrs circles for the total and effective stress at any time of deviator stress application
are shown in Figure 5.18(b). (Mohrs circle no. 1 is for total stress and no. 2 for effective
stress.) Point B on the effectivestress Mohrs circle has the coordinates p and q . If the
deviator stress is increased until failure occurs, the effectivestress Mohrs circle at failure

110

CHAPTER 5. SOIL AND GEOMECHANICS

Figure 5.18: Stress path for consolidated undrained triaxial test [10]
will be represented by circle no. 3, as shown in Figure 5.18(b), and the effectivestress
path will be represented by the curve ABC.
The general nature of the effective-stress path will depend on the value of A. Figure 5.19
shows the stress path in a p versus q plot for Lagunilla clay (Lambe, 1964). In any
particular problem, if a stress path is given in a p versus q plot, we should be able to
determine the values of the major and minor effective principal stresses for any given point
on the stress path. This is demonstrated in Figure 5.20, in which ABC is an effective
stress path.

Figure 5.19: Stress path for Lagunilla clay (after Lambe, 1964) [10]

5.3. FAILURE CRITERIA OF SOILS AND BULK SOLIDS

111

Figure 5.20: Determination of major and minor principal stresses for a point on a stress
path [10]
From Figure 5.19, two important aspects of effective stress path can be summarized as
follows:
1. The stress paths for a given normally consolidated soil are geometrically similar.
2. The axial strain in a CU test may be defined as 1 = L/L as shown in Figure
5.18(a). For a given soil, if the points representing equal strain in a number of
stress paths are joined, they will be approximately straight lines passing through
the origin. This is also shown in Figure 5.19.

5.3

Failure Criteria of Soils and Bulk Solids

As described above, the material properties of soil and bulk solids mainly depend on the
hydrostatic pressure. So, the idea of describing the valid (stress) states for a material is
evident. The failure surface in 3D stress space gives an illustration of that valid stress
states over a wide range of hydrostatic pressures. Inside the shape are valid states of
the material, the deviatoric cross section in Figure 5.21 shows the valid shear stresses
for three hydrostatic pressures. In the principal stress space, the shape of the failure
surface is conical, with the apex of the cone at the origin of the stress axes, as shown in
the inset of Fig. 5.21. Also shown in this figure are the deviatoric cross sections of the
failure surface. The failure surfaces for different materials and different material models
are given in Figure 5.22 at specific hydrostatic stress levels. There are some differences in
the shape of the yield surface which represents the different material properties and can
show the different qualities of the models.

112

CHAPTER 5. SOIL AND GEOMECHANICS

Figure 5.21: General shape and deviatoric cross-sections of the one-parameter failure
model, each line represents a different level of hydrostatic pressure. [27, 28]

Some materials show the ability to take tension stresses, as well. In that cases the origin
of the cone is displaced into the hydrostatic tension space.

5.4
5.4.1

Material Models
Rate Dependent Model for cohesionless Soil and Bulk
Solids

There exist many numerical models for the description of stress dependent behaviour of
bulk solids and soil. The following description gives an example of a rate dependent hy-

5.4. MATERIAL MODELS

113

Figure 5.22: General characteristics of the traces of the failure surface on the deviatoric
planes (Lade and Musante,1977). (a) Monterey No. 0 sand. (b) Grundite
clay. [27, 28]
poplastic model for dry soil and bulk solids. This model is valid for cohesionless materials.

+T
)||D||
T
D) + fd aF (T
F 2 D + a2 Ttr(
T = fb fe
(5.11)

tr(T T)
elastic

plastic

.
Symbol Units Description
T

T
D

D
D
fb
fd
fe

[kPa]
[ kPs a ]
[ kPs a ]
[ 1s ]
[ 1s ]
[ 1s ]
[ 1s ]
[-]
[-]
[-]

Cauchy stress tensor


Time dependent stress rate tensor
Corotatedstresstensor
Strain rate tensor
Corotatedstrainratetensor
Time derivative of strain rate tensor
Deviatoric part of strain rate tensor D = D 31 tr(D)1
Pressure and Porous number dependent factor
Pressure and Porous number dependent factor
Pressure and Porous number dependent factor

114

CHAPTER 5. SOIL AND GEOMECHANICS

There is the dimensionless tensor


= T/trT
T

(5.12)

which describes the stress state with respect to the hydrostatic pressure level and is called
the Chauchy stress tensor.
The deviatoric aspects of that Chauchy stress tensor is given by
=T
1I
(5.13)
T
3
The stress function F interprets the failure criteria (Figure 5.23). The given function
T11

T22

T33

||
Figure 5.23: Yield Surface at specific hydrostatic pressure in deviatoric plane: r = ||T
and Lode-angle . [5]

uses the Lodeangle to determine valid shear stresses at the given hydrostatic pressure
level.
2 tan2
1
1
def

F =
tan2 +
tan
(5.14)
8
2 + 2 tan cos(3) 2 2
def
||
tan = 3||T
T
T
)
tr(T
def
cos(3) = 6
.
3/2
T
)
tr(T
This model is used for simulating the dynamic material behaviour of dry bulk solids during
discharge of silos. For implementation into FiniteElementCode (FEM) see [5]. Important for that application is the stress, and time, and porositydependent behaviour of
the bulk solid. During FEM calculation of that simulation the most calculation cost is
used for determining the valid stress state and valid porosity of the material.

5.4. MATERIAL MODELS

5.4.2

115

Theory of Porous Media, TPM

There exist many models for different applications in soil and bulk solids handling. To
have another closer view to a specific problem, we look at an advanced model for fully
saturated soil. This kind of soil is very common for substructure design. Aspects of
groundwater flow, and exploitation of oil, and contamination out of rubbish dumps, and
filtration abilities of soil are on great interest for our today human society. Another wide
area of application is noise reduction and insulation of buildings and machines, where
air is the contemplated fluid. The model is used to design materials and for numerically
investigations of the effect of noise reduction under various conditions, where air is the
fluid phase, then.
This section is partly from [11], so for more detailed information and aspects of i.e.
numerical implementation, please refer to that publication. The main goal of that paper
is the wave propagation through full saturated soil skeleton. The TPM is mostly presented

Figure 5.24: Fluid flow through Skeleton of of Particles (full saturated soil skeleton, also
air possible) [11]
in a general non-linear fashion [6], here the focus is given on the linearisation process [11].
All given nonlinear equations are formulated with respect to the reference configuration
of the solid skeleton, therefore, special indication of the reference coordinate system is
skipped. Furthermore, time derivatives are given as material derivatives with respect to
the moving skeleton. But according to the subsequent linearisation no distinction will be
made between the material time derivative and the partial time derivative.

5.4.2.1

Compressible constituents

In order to describe the two different phases of the material the concept of volume fractions
is introduced [6, 7]. Therefore, the given volume element V is divided in two fractions
V S and V F occupied by the solid skeleton (index S) and the interstitial fluid (index F ),

116

CHAPTER 5. SOIL AND GEOMECHANICS

Figure 5.25: Deformation and movement of a fluid saturated soil sample: (left) Fast compression wave: in phase deformation, (mid) Slow compression wave: counter
phase movement of soil and fluid , (right) Shear Wave: Deformation without
volume change [11]
respectively. If the whole space is filled with matter, the saturation condition requires
V = V S + V F . The volume fraction nk of each constituent is defined by
nk =

Vk
V

with k = F, S .

(5.15)

The partial densities k of both constituents relate the mass element of the constituents
to the volume element V of the mixture while the effective densities kR relate the same
element of mass to the volume element occupied by the constituent. Therefore, the partial
densities are obtained by the product of the volume fraction and the respective effective
density
k

kR k

with k = F, S .

(5.16)

Changes of the partial density are therefore possible due to changes of the effective density
and of the volume fraction, i.e. the material itself as well as its porous structure allow for
a compressibility.
Within the general framework of compressible constituents, the effective densities are state
variables and the volume fractions are internal variables [6, 7] which may be transformed
to state variables under certain conditions. For an elastic and materially compressible
solid phase, a nonlinear representation of the solid volume fraction is given as [12]
nS =

nS0
.
nS0 (1 det FS ) + det FS

(5.17)

The current value of the volume fraction nS depends on the solid deformation gradient
FS and the initial solid volume fraction nS0 . The expression (5.17) is derived from an

5.4. MATERIAL MODELS

117

evolution equation for the volume fraction by appropriate assumptions. Due to the assumption of a geometrically linear description the determinant of the deformation gradient
is approximated by
det FS 1 + ui,i .
(5.18)
The divergence of the solid displacement ui,i gives the linear expression for the volumetric strain. Inserting the linearised format of the deformation gradient (5.18) into the
expression for the volume fraction (5.17) and a subsequent Taylor series expansion yields
nS

nS0
= nS0 (1 (1 nS0 )ui,i + O(u2i,i )) .
S
1 + (1 n0 )ui,i

(5.19)

The balance equations of momentum of a two-phase continuum give the basis for the
theoretical description within the TPM. They can either be given for both constituents
separately or one of the individual balances may be replaced by the balance of momentum
of the mixture as discussed in detail in [16]. In the present contribution, the mixture
balance of momentum is used in combination with the fluid momentum balance. The
balance equations of momentum for the two-phase mixture read
1. for the mixture

nS

SR

ui +nF

FR

S
F
ui + wi + (ui,j + wi,j )wj = Tij,j
+ Tij,j
+ nS

SR S
bi

+ nF

FR F
bi

convective

Newton

(5.20)
2. and for the fluid
nF

FR

F
ui + wi + (ui,j + wi,j )wj = Tij,j
+ pi + nF

FR F
bi

(5.21)

In Equations (5.20) and (5.21), wi denotes the seepage velocity defined as the relative
velocity of the fluid with respect to the deforming solid skeleton. The stress tensor is
given by Tijk with k = S for the solid skeleton and k = F for the fluid, respectively. The
body force density in the fluid and in the solid is nF F R bFi and nS SR bSi , respectively.
The force density pi results from a momentum production representing the interaction
between both constituents. Therefore, it is obviously not present in the equation for the
mixture (5.20).
Keeping in mind a linear version of the theory, the convective terms on the left hand
sides of Equations (5.20) and (5.21) are of second order (and small) and will consequently
be neglected. Furthermore, inserting the series expansion of the solid volume fraction

118

CHAPTER 5. SOIL AND GEOMECHANICS

(5.19) into the balance of momentum (5.20) a consequent linearisation remains only the
constant part nS0 in the final linear equation. Subsequently, due to the saturation condition
1 = nS + nF , both volume fractions are assumed to be constant within the balances of
momenta
(5.22)
nF nF0 = 1 nS0 .
nS nS0
This corresponds to the case called frozen volume fractions [7].
Gathering all the linearisations formulated above the linear balances of momentum are
1. for the mixture
nS0

SR

ui + nF0

FR

F
S
+ bi
+ Tij,j
[ui + wi ] = Tij,j

(5.23)

2. for the fluid


nF0

FR

F
[ui + wi ] = Tij,j
+ pi + nF0

FR F
bi

(5.24)

where no distinction between the partial time derivative and the material time derivative
have to be made. In Equation (5.23), the bulk body force bi with = nS0 SR + nF0 F R is
introduced as an abbreviation for the sum of the solid and fluid body force. Additionally,
the balance of momentum of momentum is fulfilled if the stress tensors are symmetric.
Furthermore, constitutive assumptions must be specified which link the stress tensors and
the momentum production term to kinematic quantities. Neglecting the fluid extra-stress,
the stress tensor of the fluid is governed by the pore pressure p
TijF = nF pij

F
and accordingly Tij,j
= (nF pij ),j = (nF p),i ,

(5.25)

where ij denotes the Kronecker delta (see Equation 1.22). Furthermore, the viscosity of
the fluid is taken into account by the momentum production or by the interaction force
between the solid and the fluid which is given by the linear relation
pi = pnF,i

(nF )2
wi
T

(5.26)

with seepage velocity wi and pore pressure pi , and with the permeability T , ()T =TPM.

S
This permeability depends on the intrinsic permeability k and on the fluid viscosity F
according to the relation T = k S /F . In the balance of momentum for the fluid (5.21)
or (5.24) the stresses and the interaction forces combine to
F
Tij,j
+ pi = (nF p),i + pnF,i

(nF )2
(nF )2
F
w
=
n
p

wi .
i
,i
T
T

(5.27)

5.4. MATERIAL MODELS

119

According to the choice (5.25) and (5.26), the viscous properties of the fluid are modelled
by the momentum exchange term (5.26) while the fluid extra stress is neglected.
For the solid skeleton Hookes law is taken into account assuming a linear elastic behaviour.
Hence, with the extra stress
2
(ES )ij = G(ui,j + uj,i ) + (K G)ij uk,k
3
Shear

(5.28)

Hydrostatic

the stress tensor of the solid skeleton is given by

TijS = z S nS pij + (ES )ij


(5.29)

2
= G(ui,j + uj,i ) + ((K G)uk,k z S nS p)ij ,
3

if a linear strain-displacement relation ij = 1/2(ui,j + uj,i ) holds. The shear modulus


G and the compression modulus K are introduced in the constitutive equations. These
material constants refer to the bulk material and, therefore, the compression modulus
includes also the compressibility of the skeleton structure. Furthermore, the state variable
z S was introduced to separate effects related to material and structural compressibilities,
respectively. In formulating (5.29), it is additionally assumed that the free Helmholtz
energy1 is independent of the volume fractions. Subsequently, due to this assumption,
the configuration pressure vanishes.
In the balance of momentum for the mixture the divergence of the total stress tensor is
needed, i.e. the combination of the solid and fluid stress tensor. Under the assumptions
made above the divergence of the total stress is obtained as
2
S
F
Tij,j
+ Tij,j
= G(ui,jj + uj,ij ) + (K G)uj,ji z S nS p,i (nF p),i
3
1
Gui,jj + (K + G)uj,ji (z S nS0 + nF0 )p,i
3

(5.30)

assuming constant volume fractions according to the linearisation (5.22).


The balance of mass of the solid is formulated for the partial density S = nS
split into two parts by the introduction of the arbitrary function 0 z S 1
1

SR

and is

Helmholtz free energy: Thermodynamic Potential which increases the useful work from a closed
system.

120

CHAPTER 5. SOIL AND GEOMECHANICS

(
SR

) +

ui,i = 0

((nS ) + z S nS ui,i ) + nS ((

SR

) + (1 z S )

SR

(5.31)
ui,i ) = 0 .

For arbitrary values of z S , (5.31) is fulfilled if each part of the sum is equal to zero
(nS ) = z S nS ui,i

and

SR

) = (1 z S )

SR

ui,i .

(5.32)

Based on a micro mechanical investigation, The dependence z S = 1 K S /K SR relating


z S to the compression modulus of the structure K S and the compression modulus of the
solid grains K SR . He showed that this choice is thermodynamically admissible and that
in the case of an incompressible solid skeleton the limit z S = 1 transforms (5.31) into the
well known volume balance nS = nS0 det F1
S .
Finally, an equation of state for the fluid must be prescribed because in (5.25) for the
fluid extra stress tensor no constitutive assumption was given. Within the framework of
a linear theory, the simplest case of the ideal gas equation is applied
FR

(p) =

FR
0

p0

p=

p
,
R

(5.33)

with absolute temperature , the reference density F0 R and the reference pore pressure
(static pressure) p0 . The alternative second expression uses the absolute temperature
and the specific gas constant R. More complex laws to describe the volumetric behaviour
of the fluid could be included here, however, the linearisation neglects additional effects.
With these preliminaries the continuity equation for the fluid can be formulated. In
general, this equation reads
F
+ ((wi + ui )
t

),i = 0

(5.34)

using the seepage velocity wi = vi ui instead of the fluid velocity. Introducing the
material time derivative
F
( F) =
+ F,i ui
(5.35)
t
and combining (5.34) with the definition of the partial density (5.16) and with the saturation condition in the form (nF ) = (nS ) = z S nS ui,i yields the following representation
nF (

FR

) +

FR

(nF + z S nS )ui,i + (nF

FR

wi ),i = 0 .

(5.36)

Equation (5.36) is the nonlinear form of the continuity equation of the fluid with respect
to the moving solid reference system. This equation is linearised by a formal Taylor series,

5.4. MATERIAL MODELS

121

where in the first term on the left hand side the gas equation (5.33) is substituted. In
the second and third term, the density is multiplicated with the divergence of the solid
velocity or seepage velocity, respectively. Consequently, only the constant factor F0 R of
the series expansion of the density is used. Additionally, according to Equation (5.22),
constant volume fractions are introduced leading to the following linearised form of the
continuity equation of the fluid
nF0

p
+
R

F
FR
0 (n0

+ z S nS0 )ui,i + nF0

FR
0 wi,i

=0.

(5.37)

Gathering all above given linearisations the following set of coupled differential equations
is obtained from the balance equations
0 ui

+ nF0

FR
0 wi

1
= Gui,jj + (K + G)uj,ji (nF0 + z S nS0 )p,i + bi ,
3
(nF )2
nF0 F0 R [ui + wi ] = nF0 p,i 0T wi + nF0 F R bFi ,

p
+ F0 R (nF0 + z S nS0 )ui,i + nF0 F0 R wi,i = 0 .
nF0
R

(5.38a)
(5.38b)
(5.38c)

The primary variables in (5.38) are the solid displacement ui , the seepage velocity wi ,
and the pore pressure p. Note that in Equations (5.38), due to the linearisation, constant
F FR
FR
are used with the exception of the body force
and 0 = nS0 SR
densities SR
0 + n0 0
0 , 0
terms (Boussinesq approximation) where a linear approximation of the density is inserted.
From a physical point of view it is sufficient to describe the problem with only two primary
variables namely the solid displacement ui and pore pressure p instead of three variables.
In the quasi-static case, i.e. ui 0, wi 0, the balance of momentum of the fluid
(5.38b) can be rearranged to express the seepage velocity in terms of the pore pressure
gradient. In this case, Darcys law2 is obtained. Inserting this expression into Equations
(5.38a) and (5.38c) eliminates the seepage velocity as primary variable from the set of the
governing equations. Since in the dynamic case, wi is given as time derivative in (5.38b),
this procedure is only possible in Laplace domain. Before the Laplace transformation3
can be performed the following assumptions are made:
All initial conditions vanish, i.e.
!

ui (xi , t = 0) = 0 wi (xi , t = 0) = 0 .
2

(5.39)

Darcys law: Describes the flow of fluid through porous media (published 1856).
Laplace transformation: Used to transform differential equations into easily solvable algebraic equations.
3

122

CHAPTER 5. SOIL AND GEOMECHANICS

The pore pressure p is assumed to be the excess pressure relative to the static
pressure p0 . Therefore, the initial conditions for the pore pressure also vanish
!

p(xi , t = 0) = 0 .

(5.40)

Taking these assumptions into account the transformed Equations (5.38) are
0s

ui + nF0

FR
i
0 sw

nF0

1
uj,ji (nF0 + z S nS0 )
p,i + bi ,
= G
ui,jj + (K + G)
3
(nF0 )2
FR
2
F
s
u

+
s
w

=
n
p

wi + nF0 F RbFi ,
i
i
0
0 ,i
T
s
p
ui,i + nF0 F0 R wi,i = 0
nF0
+ F0 R (nF0 + z S nS0 )s
R

(5.41a)
(5.41b)
(5.41c)

where () indicates the Laplace transform and s is the complex Laplace variable.
Rearranging the Laplace transformed balance of momentum for the fluid (5.41b) the
seepage velocity is obtained
wi =

T
snF0

p,i + s2

FR
0

FR
i
0 u

F RF
bi

(5.42)

In (5.42) the complex valued abbreviation


T =

snF0 F0 R T
nF0 + sT F0 R

(5.43)

is introduced. Eliminating the seepage velocity wi from the remaining balances (5.41a)
and (5.41c) by use of (5.42), finally, the balance of momentum for the mixture
s2 ( 0 T

FR
ui T
0 )

p,i

F RF
bi

1
= G
ui,jj +(K + G)
uj,ji (nF0 +z S nS0 )
p,i + bi (5.44)
3

and the mass balance of the fluid


nF0

s
p
+
R

FR
F
0 (n0

z S nS0

T
T F R F
)s
ui,i
p,ii +
bi,i = 0
s
s
T

(5.45)

are achieved. These operations establish a system of coupled partial differential equations
for the unknowns solid displacement ui and pore pressure p
1
G
ui,jj + (K + G)
uj,ji (nF0 + z S nS0 T )
p,i s2 (
3

FR
ui
0 )

= T

F RF
bi

bi ,
(5.46)

p,ii nF0

T R

s2 F0 R F
(n0
T

+ z S nS0 T )
ui,i =

F RF
bi,i

(5.47)

5.4. MATERIAL MODELS

123

An analytical representation of Equations (5.46) and (5.47) in time domain is only possible
for a constant value T . This is only achieved in the limit T , i.e. F 0.
Consequently, the interaction force pi between the solid and the fluid is proportional to
the pore pressure pi pnF,i and the influence of the seepage velocity on the momentum
exchange vanishes. Evidently, this is only valid under equilibrium conditions where no
fluid motion takes place.
5.4.2.2

Incompressible constituents

Naturally, the balances of momentum (5.20) and (5.21) are not changed due to the assumption of incompressible constituents. So, the linearisation process is performed as
shown in the foregoing section. Also, caused by linearisation, the volume fractions nS and
nF are assumed to be constant within the balance equations. So, the linearised balances
of momentum for the mixture (5.23) and for the fluid (5.24) are valid also in case of
incompressible constituents.
On the other hand, the continuity equation of the solid (5.31) reduces to a balance of
volume. As stated above, the incompressible case is included in the general framework
by the choice z S = 1. The physical interpretation is obviously a constant density SR
resulting in the well-known balance of volume
(nS ) + nS ui,i = 0 .

(5.48)

Assuming both constituents as materially incompressible and inserting the assumptions


FR
= const. and z S = 1 into the nonlinear form of the continuity equation of the fluid
(5.36) yields
FR

(nF + nS )ui,i + (nF

FR

wi ),i =

FR

(nF wi + ui ),i = 0 .

(5.49)

The constitutive equations for the incompressible solid and incompressible fluid can also
easily be achieved. The stress tensor of the fluid (5.25) and the interaction force (5.26)
are not changed yielding the well known principle of effective stress, but note that the
pore pressure becomes a Lagrangian multiplier in this case which ensures the assumption
of constant density. There is no longer an equation of state linking the density to the
pressure. Finally, the divergence of the total stress is obtained by these assumptions in
combination with the saturation condition nS + nF = 1
1
S
F
Tij,j
+ Tij,j
= Gui,jj + (K + G)uj,ji p,i .
3

(5.50)

124

CHAPTER 5. SOIL AND GEOMECHANICS

As in the compressible case, the incompressible model results in three equations for the
three variables solid displacement ui , pore pressure p, and the seepage velocity wi
1
= Gui,jj + (K + G)uj,ji p,i + bi ,
3
F 2
(n )
nF0 F0 R [ui + wi ] = nF0 p,i T wi + nF0 F R bFi ,

F
(n0 wi + ui ),i = 0 .
0 ui

+ nF0

FR
0 wi

(5.51a)
(5.51b)
(5.51c)

Because the balance of momentum of the fluid Equation (5.51b) is equal to Equation
(5.41b) of the compressible case, an extraction of the seepage velocity is only possible in
Laplace domain. The transformation of Equation (5.51b) leads to the same expression as
given in (5.42). Eliminating the seepage velocity from the balance of momentum (5.51a)
and from the balance of volume (5.51c) results in the set of coupled differential equations
for the unknowns solid displacement ui and pore pressure p
1
uj,ji (1 T )
p,i s2 ( 0 T F0 R )
ui = T F0 RbFi bi ,
G
ui,jj + (K + G)
3
s2 F0 R
p,ii
(1 T )
ui,i = F RbFi,i .
T

(5.52)
(5.53)

As in the compressible case, an analytical representation in time domain is only possible


for T .

6 Theory of Metal Plasticity


6.1

Introduction

Plasticity theory deals with yielding of materials under complex stress states. It allows
one to decide whether or not a material will yield under a stress state and to determine the
shape change that will occur if it does yield. It also allows tensile test data to be used to
predict the work-hardening during deformation under such complex stress states. These
relations are a vital part of computer codes for predicting crashworthiness of automobiles
and codes for designing forming dies.

6.2

Uniaxial Plasticity

1. Plastic deformations are associated with a dissipation of energy and hence the process is irreversible and history dependent.
2. Plastic deformations are rate-insensitive and time-independent in the theory
of plasticity.
3. Plastic deformation of metals are hydrostatic-pressure-insensitive and plastic
volumetric change is incompressible.

6.3

Yield Criteria and Hardening of Metals

The concern here is to describe mathematically the conditions for yielding under complex
stresses. A yield criterion is a mathematical expression of the stress states that will cause
yielding or plastic flow. The most general form of a yield criterion is
125

126

CHAPTER 6. THEORY OF METAL PLASTICITY

f (x , y , z , yz , zx , xy ) = C,

(6.1)

where C is a material constant. For an isotropic material this can be expressed in terms
of principal stresses,
f (1 , 2 , 3 ) = C.

(6.2)

The yielding of most solids is independent of the sign of the stress state. Reversing the
signs of all the stresses has no effect on whether a material yields. This is consistent with
the observation that for most materials, the yield strengths in tension and compression
are equal. Also, with most solid materials, it is reasonable to assume that yielding is
independent of the level of mean normal stress,
m = (1 + 2 + 3 )/3.

(6.3)

It will be shown later that this is equivalent to assuming that plastic deformation causes
no volume change. This assumption of constancy of volume is certainly reasonable for
crystalline materials that deform by slip and twinning because these mechanisms involve
only shear. With slip and twinning only the shear stresses are important. With this
simplification, the yield criteria must be of the form
f [(2 3 ), (3 1 ), (1 2 )] = C.

(6.4)

In terms of the Mohrs stress circle diagrams, only the sizes of the circles (not their positions) are of importance in determining whether yielding will occur. In three-dimensional
stress space (1 vs. 2 vs. 3 ) the locus can be represented by a cylinder parallel to the
line 1 = 2 = 3 , as shown in Figure 6.1.

6.3.1

Tresca Maximum Shear Stress Criterion

The simplest yield criterion is one first proposed by Tresca. It states that yielding will
occur when the largest shear stress reaches a critical value. The largest shear stress is
max = (max min )/2, so the Tresca criterion can be expressed as
max min = C.
If the convention is maintained that 1 2 3 , this can be written as

(6.5)

6.3. YIELD CRITERIA AND HARDENING OF METALS

127

Figure 6.1: (left) Tresca Criterion; (right) A yield locus is the surface of a body in threedimensional stress space. Stress states on the locus will cause yielding. Those
inside the locus will not cause yielding. Projection to 1 /2 Plane yield to
eliptical shape. [19]

1 3 = C.

(6.6)

The constant C can be found by considering uniaxial tension. In a tension test, 2 =


3 = 0 and at yielding 1 = Y , where Y is the yield strength. Substituting into Equation
6.6, C = Y . Therefore the Tresca criterion may be expressed as
1 3 = Y.

(6.7)

For pure shear, 1 = 3 = k, where k is the shear yield strength. Substituting in


Equation (6.7) , k = Y /2, so
1 3 = 2k = C.

6.3.2

(6.8)

Von Mises Criterion

The effect of the intermediate principal stress can be included by assuming that yielding
depends on the root-mean-square diameter of the three Mohrs circles. This is the von
Mises criterion, which can be expressed as
(2 3 )2 + (3 1 )2 + (1 2 )2 /3

1/2

= C.

(6.9)

128

CHAPTER 6. THEORY OF METAL PLASTICITY

Note that each term is squared, so the convention 1 2 3 is not necessary. Again the
material constant, C, can be evaluated by considering a uniaxial tension test. At yielding,
1 = Y and 2 = 3 = 0. Substituting, [02 + (Y )2 + Y 2 ]/3 = C 2 , or C = (2/3)1/3 Y , so
the equation is usually written as
(2 3 )2 + (3 1 )2 + (1 2 )2 = 2Y 2 .

(6.10)

For a state of pure shear, 1 = 3 = k and 2 = 0. Substituting in Equation 4.10,


(k)2 + [(k) k]2 + k 2 = 2Y 2 , so

k = Y / 3.

(6.11)

Equation 6.10 can be simplified if one of the principal stresses is zero (plane-stress conditions). Substituting 3 = 0, 12 + 22 1 2 = Y 2 , which is an ellipse (see Figure 6.1).
With further substitution of = 2 /1 ,
1 = Y /(1 + 2 )1/2 .

6.3.3

(6.12)

Hardening Rule

A specification of the dependence of the yield criterion on the internal variables, along
with the rate equations for these variables, is called a hardening rule. In this subsection
we first review in more detail the significance of the two models of hardening isotropic
and kinematic. Afterwards we look at some more general hardening rules.

6.3.4

Isotropic Hardening

The yield functions that we have studied so far in this section are all reducible to the form
f (, ) = F () k().

(6.13)

Since it is only the yield stress that is affected by the internal variables, no generality is
lost if it is assumed to depend on only one internal variable, say 1 , and this is invariably
identified with the hardening variable , defined as either the plastic work Wp or as
the effective plastic strain p . The function h1 corresponding to 1 is given by ij hij or
2
h h ,
3 ij ij

respectively, for each of the two definitions of , so that the work-hardening


modulus H is

6.3. YIELD CRITERIA AND HARDENING OF METALS

H=

k (Wp )ijhij
p

k ( )

2
h h
3 ij ij

Work
Strain (plastic)

129

(6.14)

The work-hardening in rate-independent plasticity corresponds to a local expansion of


the yield surface. The present behaviour model represents a global expansion, with no
change in shape. Thus for a given yield criterion and flow rule, hardening behaviour in
any process can be predicted from the knowledge of the function k(), and this function
may, in principle, be determined from a single test (such as a tension test). The most
attractive feature of the isotropic hardening model is its simplicity. However, its usefulness
in approximating real behaviour is limited. In uniaxial stressing it predicts that when a
certain yield stress has been attained as a result of work-hardening, the yield stress
encountered on stress reversal is just , a result clearly at odds with the Bauschinger
effect1 . Furthermore, if F () is an isotropic function, then the yield criterion remains
isotropic even after plastic deformation has taken place, so that the model cannot describe
induced anisotropy.

6.3.5

Kinematic Hardening

As we know, if f can be written in the form

f (, ) = F ( ) k().

(6.15)

then more general hardening behaviour can be described. Isotropic hardening is a special
case of equation 6.15 if 0 and if k depends only on , while purely kinematic hardening
corresponds to constant k but non-vanishing variable . Kinematic hardening represents
a translation of the yield surface in stress space by shifting its reference point from the
origin to , and with uniaxial stressing this means that the the length of the stress
interval representing the elastic region (i.e., the difference between the current yield stress
and the one found on reversal) remains constant. This is in fairly good agreement with
the Bauschinger effect for those materials whose stress-strain curve in the work-hardening
range can be approximated by a straight line (linear hardening), and it is for such materials
proposed the model in which = c p , with c being a constant. A generalisation of it is
1

The Bauschinger effect refers to a property of materials where the materials stress/strain characteristics change as a result of the microscopic stress distribution of the material. For example, an increase
in tensile yield strength occurs at the expense of compressive yield strength.

130

CHAPTER 6. THEORY OF METAL PLASTICITY

due to Prager [23, 24], who coined the term kinematic hardening on the basis of his use
of a mechanical model in explaining the hardening rule (Figure 6.2).

Figure 6.2: Pragers mechanical model of kinematic hardening: At one stress level on
Plane one can move the yiled locus around that Pin (i.e. hydrostatic pressure,
Aquisektrix).[22]
A kinematic hardening model is also capable of representing induced anisotropy, since a
function F ( ) that depends only on the invariants of its argument stops being an
isotropic function of the stress tensor as soon as differs from zero.
It should be pointed out that, since is a tensor in stress space (sometimes called the
back stress, the equation ij = c pij does not imply proportionality between the vectors
representing and p in any space other than the nine-dimensional space of second-rank
tensors, and particularly not in the six-dimensional space in which symmetric tensors are
represented, since the mappings of stress and strain into this space must be different in
order to preserve the scalar product = ij ij ; consequently, the translation of the
yield surface for a material with an associated flow rule is not necessarily in the direction
of the normal to the yield surface, as was assumed by Prager in constructing his model.
In more sophisticated kinematic hardening models, internal variables other than p and
are included; in particular, the back stress may be treated as a tensorial internal variable
with its own rate equation. Indeed, the MelanPrager model falls into this category when
its equation is rewritten as

ij = c pij

(6.16)

6.3. YIELD CRITERIA AND HARDENING OF METALS

131

here c need not be a constant but may itself depend on other internal variables. In the
model described by Backhaus [4], for example, c depends on the effective plastic strain
p
. Lehmann [21] replaces the isotropic relation 6.16 between and p by a more general
one,
ij = cijkl (, ) pkl

6.3.6

(6.17)

Generalised Hardening

The hardening represented by Equation 6.15 with both and k variable is called combined
hardening by Hodge [18]. The combined hardening model proposed for viscoplasticity by
Chaboche [9], has been applied by Chaboche and his collaborators to rate-independent
plasticity as well.
In these models the yield surface in stress space is constrained to move inside an outer
surface, known variously as bounding surface, loading surface, or memory surface, given
by, f (, ) = 0.
The work-hardening modulus H at a given state is assumed to be an increasing function
of a suitably defined distance, in stress space, between the current stress and a stress
on the outer surface, called the image stress of . When this distance vanishes, the workhardening modulus attains its minimum value, and further hardening proceeds linearly,
with the two surfaces remaining in contact at = .
The various two-surface models differ from one another in the definition of the bounding
surface, in the way the image stress depends on the current state, and in the variation
of work-hardening modulus. In the model of Dafalias and Popov, both surfaces are given
similar combined-hardening structures, with a back stress playing the same role for the
outer surface that plays for the yield surface, and = c( )+, where c is a constant.
H is assumed to depend on = ( ) : ( ) in such a way that H = at initial
yield, producing a smooth hardening curve.
Experiments showed that when yield surfaces are defined on the basis of a very small offset
strain, they undergo considerable distortion, in addition to the expansion and translation
considered thus far. In order to describe such distortion in initially isotropic materials,
Equation 6.15 must be modified to
f (, ) = F ( , ) k(),

(6.18)

132

CHAPTER 6. THEORY OF METAL PLASTICITY

where F is initially an isotropic function of its first argument but becomes anisotropic as
plastic deformation takes place. An example of such a function is that Mises-type yield
surface:
F ( , ) = 0.5Aijkl ()(ij ij )(kl kl ),

(6.19)

where
1
Aijkl () = ik ij ij kl + A
3

p p
ij kl ,

(6.20)

A being a constant.

6.4
6.4.1

Ductility and Fracture


Introduction

Throughout history there has been a never-ending effort to develop materials with higher
yield strength. However, a higher yield strength is generally accompanied by a lower
ductility and a lower toughness. Toughness is the energy absorbed in fracturing. A high
strength material has low toughness because it can be subjected to higher stresses. The
stress necessary to cause fracture may be reached before there has been much plastic
deformation to absorb energy. Ductility and toughness are lowered by factors that inhibit
plastic flow. As schematically indicated in Figure 6.3, these factors include decreased temperatures, increased strain rates, and the presence of notches. Developments that increase
yield strength usually result in lower toughness.Fractures can be classified in several ways.
A fracture is described as ductile or brittle depending on the amount of deformation that
precedes it. Failures may also be described as inter-granular or trans-granular, depending
on the fracture path. The terms cleavage, shear, void coalescence, etc., are used to identify failure mechanisms. These descriptions are not mutually exclusive. A brittle fracture
may be inter-granular or it may occur by cleavage.
The ductility of a material describes the amount of deformation that precedes fracture.
Ductility may be expressed as the percent elongation or as the percent reduction of area
in a tension test. Failures in tension tests may be classified in several ways (Figure 6.4).
At one extreme, a material may fail by necking down to a vanishing cross section. At
the other extreme, fracture may occur on a surface that is more or less normal to the
maximum tensile stress with little or no deformation. Failures may also occur by shear.

6.4. DUCTILITY AND FRACTURE

133

Figure 6.3: Lowered temperatures, increased loading rates, and the presence of notches all
reduce ductility. These three factors raise the stress level required for plastic
flow, so the stress required for fracture is reached at lower strains. [19]

Figure 6.4: Several failure modes. (A) Rupture by necking down to a zero cross section.
(B) Fracture on a surface that is normal to the tensile axis. (C) Shear fracture.
[19]

6.4.2

Ductile Fracture

Tension test Failure in a tensile test of a ductile material occurs well after the maximum
load is reached and a neck has formed. In this case, fracture usually starts by nucleation
of voids in the center of the neck, where the hydrostatic tension is the greatest. As

134

CHAPTER 6. THEORY OF METAL PLASTICITY

deformation continues, these internal voids grow and eventually link up by necking of the
ligaments between them (Figures 6.5). Such a fracture starts in

Figure 6.5: (upper)Development of a cup and cone fracture: (left) Internal porosity growing and linking up, formation of a shear lip; (right) A typical cup and cone
fracture in a tension test of a ductile manganese bronze.(lower) Schematic
drawing showing the formation and growth of voids during tension and their
linking up by necking of the ligaments between them. [19]
the center of the bar where the hydrostatic tension is greatest.With continued elongation,
this internal fracture grows outward until the outer rim can no longer support the load and
the edges fail by sudden shear.This overall failure is often called a cup and cone fracture
fracture. If the entire shear lip is on the same broken piece, it forms a cup. The other
piece is the cone (Figure 6.5). More often, however, part of the shear lip is on one half
of the specimen and part on the other half. In ductile fractures, voids form at inclusions
because either the inclusion-matrix interface or the inclusion itself is weak. Ductility is
strongly dependent on the inclusion content of the material. With increasing numbers
of inclusions, the distance between the voids decreases, so it is easier for them to link
together and lower the ductility. Ductile fracture by void coalescence can occur in shear

6.4. DUCTILITY AND FRACTURE

135

as well as in tension testing.

6.4.3

Brittle fracture

Cleavage 2 : In some materials, fracture may occur by cleavage. Cleavage fractures occur
on certain crystallographic planes (cleavage planes) that are characteristic of the crystal
structure. In most cases these are the most widely spaced planes. It is thought that
cleavage occurs when the normal stress, n , across the cleavage plane reaches a critical
value, c , as illustrated in Figure 6.6 The normal stress across a plane is n = a cos2 ,
where a is the applied tensile stress and is the angle between the tensile axis and the
normal to the plane. Cleavage will occur when n = c , or
a = c /cos2

(6.21)

Figure 6.6: (left) Cleavage plane and an applied stress. Cleavage occurs when the normal
stress across the cleavage plane, n = a cos2, reaches a critical value, c ;
(right) In polycrystalline material, cleavage planes in neighbouring grains are
tilted by different amounts relative to plane of the paper. Therefore they
cannot be perfectly aligned with each other. Another mechanism is necessary
to link up the cleavage fractures in neighbouring grains. [19]
2

Cleavage, in mineralogy, is the tendency of crystalline materials to split along definite crystallographic
structural planes. These planes of relative weakness are a result of the regular locations of atoms and
ions in the crystal, which create smooth repeating surfaces that are visible both in the microscope and
to the naked eye.

136

CHAPTER 6. THEORY OF METAL PLASTICITY

In three dimensions the cleavage planes in one grain of a polycrystal will not link up with
the cleavage planes in a neighbouring grain, as indicated in Figure 6.6 Therefore fracture
cannot occur totally by cleavage. Some other mechanism must link up the cleavage
fractures in different grains. Figure 6.7 shows a fracture surface in which there is cleavage
of many grains.

Figure 6.7: Cleavage fracture in an Fe3.9% Ni alloy. The arrow indicates the direction
of crack propagation. [19]
Grain boundary fracture: Some polycrystals have brittle grain boundaries (i.e. pure iron),
which form easy fracture paths. Figure 6.8 shows such an intergranular fracture surface.
The brittleness of grain boundaries may be inherent in the material or may be caused
by segregation of impurities to the grain boundary or even by a film of a brittle second
phase. Commercially pure tungsten and molybdenum fail by grain boundary fracture.
These metals are ductile only when all the grain boundaries are aligned with the direction of elongation, as in tension testing of cold-drawn wire. Copper and copper alloys
are severely embrittled by a very small amount of bismuth, which segregates to and
wets the grain boundaries. Molten FeS in the grain boundaries of steels at hot working
temperatures would cause failure along grain boundaries. Such loss of ductility at high
temperatures is called hot shortness. Hot shortness is prevented in steels by adding Mn,

6.4. DUCTILITY AND FRACTURE

137

Figure 6.8: Intergranular fracture in pure iron under impact. [19]


which reacts with the sulphur to form MnS. Manganese sulfide is not molten at hot working temperatures and does not wet the grain boundaries. Stress corrosion is responsible
for some grain boundary fractures.
Role of grain size: With brittle fracture, toughness depends on grain size. Decreasing the
grain size increases the toughness and ductility. Perhaps this is because cleavage fractures
must reinitiate at each grain boundary, and with smaller grain sizes there are more grain
boundaries. Decreasing grain size, unlike most material changes, increases both yield
strength and toughness.

6.4.4

Impact energy

A material is regarded as being tough if it absorbs a large amount of energy in breaking.


In a tension test, the energy per volume to cause failure is the area under the stressstrain
curve and is the toughness in a tension test. However, the toughness under other forms
of loading may be very different because toughness depends also on the degree to which
deformation localises. The total energy to cause failure depends on the deforming volume
as well as on energy per volume.
Charpy test: Impact tests are often used to assess the toughness of materials. The most
common of these is the Charpy test. A notched bar is broken by a swinging pendulum.
The energy absorbed in the fracture is measured by recording by how high the pendulum
swings after the bar breaks. Figure 6.9 gives the details of the test geometry. The standard
specimen has a cross section 10 mm by 10 mm. There is a 2-mm-deep V-notch with a

138

CHAPTER 6. THEORY OF METAL PLASTICITY

radius of 0.25 mm. The pendulum s mass and height are standardised. Sometimes bars
with U or keyhole notches are employed instead. Occasionally subsized bars are tested.

Figure 6.9: (left) Charpy testing machine and test bar. A hammer on the pendulum
breaks the bar. The height to which the pendulum swings after the bar is
broken indicates the energy absorbed. (right) Ductilebrittle transition in a
Charpy V-notch specimen of a low carbon low alloy hot rolled steel. [19]

One of the principal advantages of the Charpy test is that the toughness can easily be
measured over a range of temperatures. A specimen can be heated or cooled to the
specified temperature and then transferred to the Charpy machine and broken quickly
enough so that its temperature change is negligible. For many materials there is a narrow
temperature range over which there is a large change of energy absorption and fracture
appearance. It is common to define a transition temperature in this range. At temperatures below the transition temperature the fracture is brittle and absorbs little energy
in a Charpy test. Above the transition temperature the fracture is ductile and absorbs a
large amount of energy. Figure 6.9 shows typical results for steel.

6.5. CONSTITUTIVE MODEL FOR THE PLASTICITY OF METALS

6.5
6.5.1

139

Constitutive Model for the Plasticity of Metals


Introduction

The macroscopic behaviour of crystalline materials under mechanical or thermal loadings is determined by processes in the microregion of the material. By a combination of
models on the basis of molecular dynamics and cellular automata, it seems possible to simulate numerically the formation of internal structures during the deformation processes.
The stochastical character of these mechanisms can be considered by modelling them as
stochastic processes, which result in Markov chains. By a mean value formulation, this
leads to a macroscopic model consisting of non-linear ordinary differential equations. The
determination of the unknown material parameters is based on a Maximum-Likelihood
output-error method comparing experimental data to the numerical simulations. With
Finite-Element methods, it is possible to use the material models for the design of components and structures in all fields of technical application and for the numerical simulation
of their behaviour under complex loading situations.
Metallic materials show, like other crystalline substances, typical macroscopic responses
on mechanical loading, which are caused by processes on the microscale. Figure 6.10 shows
a typical cyclic stress-strain diagram with constant strain amplitude. Cyclic hardening
can be observed as well as the Bauschinger effect, which can be recognised by the fact that
plastic flow occurs after load reversal at significantly lower stresses than those, from which
the load reversal was done. For the technical use of metallic materials, the description of
this kind of processes in material models is of high importance.

Figure 6.10: Cyclic stressstrain diagram for 304 stainless steel [35]

140

CHAPTER 6. THEORY OF METAL PLASTICITY

The moving of dislocations is the main microscopic mechanism responsible for the plastic
deformations in metallic materials. In the following, a stochastic model is presented,
which is able to consider hardening and recovery processes by means of Markov chains.
During the deformation process, the dislocations arrange in a hierarchy of structures such
as walls, adders or cells. This forming of structures influences the macroscopic behaviour
of the materials considerably. The principle of cellular automata in combination with the
method of molecular dynamics is used for the numerical simulation of these processes.
For the material parameter identification, the minimisation of the Maximum-Likelihood
cost function by hybrid optimisation methods parallelised with PVM is considered. With
a multiple shooting method, additional information about the states can be taken into
account, and thus the influence of bad initial parameters will be reduced.

6.5.2

Mechanisms on the Microscale

The movement of dislocations and the connected plastic deformations caused by external
loading is determined by two important activation mechanisms. The stress activation is
caused by the external loads. The thermal activation supports at elevated temperatures
the dislocation movements and therefore the plastic deformations.

Figure 6.11: Stress and thermal activation of dislocation motion [35]


Figure 6.11 shows schematically the obstacles, which resist the dislocation movements on
the microscale in the form of barrier potentials U , the possible position determined by
temperature of the dislocations relative to these barrier potentials, and the effect of an
external load and a temperature increase on the energetic situation of the dislocations. It is
visible that the potential U of the external forces by superposition changes the potentials
of the actual obstacles so that the dislocation movement in the direction of the applied
stress is more probable than in the opposite direction, and that the thermal activation
supports this process. The barriers, which oppose the dislocation movements, are on
the one side given by the crystalline structure of the material itself, on the other hand,

6.5. CONSTITUTIVE MODEL FOR THE PLASTICITY OF METALS

141

foreign atoms and grain boundaries can form obstacles. One of the most important reasons
for the hindering of the dislocations, however, are the dislocations themselves. During
plastic deformation, continuously new dislocations are produced. In the beginning, the
ability of the material for deforming plastically is increased. With increasing dislocation
density, a mutual influence of the lattice disturbances occurs, which results in isotropic
hardening. Due to the lattice distortions connected with the plastic deformation, elastic
energy is stored in the material, which also hinders the movements of the dislocations,
which are generating it. This process is called kinematic hardening. The internal stresses,
however, support the dislocation movements in the opposite direction and result in e.g.
the Bauschinger effect 3 . At elevated temperatures above half of the melting temperature
of the material, thermally activated reorganisation processes in the crystals occur, which
reduce the mutual hindering of the dislocations and result macroscopically in recovery.

6.5.3

Simulation of the Development of Dislocation Structures

For unidirectional as well as for cyclic plastic deformation, it is observed that dislocation
structures are developed in the shape of e.g. adders or dislocation cells, which in a typical
manner depend on the loading history and the loading magnitude (Figure 6.12).

Figure 6.12: Characteristic dislocation structures [35]


Due to the fact that this forming of dislocation patterns influences the macroscopic behaviour of the materials considerably, the simulation of these self-organisation processes
3

The Bauschinger effect refers to a property of materials where the materials stress/strain characteristics change as a result of the microscopic stress distribution of the material. For example, an increase
in tensile yield strength occurs at the expense of compressive yield strength.

142

CHAPTER 6. THEORY OF METAL PLASTICITY

can result in valuable information for the choice of formulations for the modelling of processes on the microscale. The interaction of a large number of identical particles is the
basic idea for the definition of cellular automata. It is an idealisation of real physical
systems, where space as well as time are discrete.

A cellular automaton is completely characterised by the following four properties: geometry of the cell arrangement, definition of a neighbourhood, definition of the possible states
of a cell, and evolution rules. Each cell can during the evolution in time only assume values (states) out of a finite set. For all cells, the same evolution rules are valid. The change
in state of a cell depends on its own state and those of the neighbouring cells. Opposite to
the usual assumptions for cellular automata, where the state of a cell only depends on the
states of the next neighbours, for the simulation of dislocation movements, it has to be
taken into account that the dislocations possess long-range acting stress fields. With this
model, it is possible to compute the dynamics of some thousand edge or screw-dislocations
on parallel slip planes in areas of arbitrary magnitude. A basic model, for which only one
slip system in horizontal direction was chosen, assumes a grid of rectangular cells, which
can be occupied by edge or screwdislocations with positive or negative sign.

The transition rules are: A positive or negative occupied cell becomes an empty cell if
the dislocation in the cell will move due to the acting forces to a neighbouring cell or
if an annihilation with a dislocation in a neighbouring cell occurs. The step width of a
dislocation is always one cell size per time step. Reachable cells are the cells left, right,
up and down from the actual cell. This characterises a so called v. Neumann neighbourhood. For the calculation of the forces acting on a dislocation, a larger neighbourhood is
necessary due to the long range acting stress of the dislocations. The balance of forces
decides, if and in which direction a dislocation will move. It is computed for each time
step and each dislocation for both degrees of freedom. A much more realistic simulation
for the development of dislocation structures is obtained from models, which consider
several glide planes.

Figure 6.13 shows a two dimensional projection for the glide system for a cubic face-centred
lattice, and modelling of the glide processes on this system with three glide directions under angles of respectively 60o . The simulation results in wall and labyrinthstructures of
the dislocations (Figure 6.14). An extension of the model with consideration of vacancies
and a suitable velocity law is under progress [35].

6.5. CONSTITUTIVE MODEL FOR THE PLASTICITY OF METALS

143

Figure 6.13: Cell arrangement and neighbourhood of simulation model. [35]

Figure 6.14: Simulation of dislocation structures. [35]

6.5.4

Stochastic Constitutive Model

The description of the processes responsible for plastic deformations shows that they
are strongly stochastic. Figure 6.15 shows for a simplified case for processes at high
temperatures, under consideration of kinematic hardening only, the used stochastic model.
Over the state axis, which represents the value of the kinematic hardening kin , and
therefore the strength of the obstacles resisting the dislocation movements, the distribution of the flow units (dislocations, dislocation packages or grain boundaries) is given.
The effect of the external stress is reduced by the hardening stress, therefore only the
effective stress ef f = kin is responsible for the dislocation movements. Depending

144

CHAPTER 6. THEORY OF METAL PLASTICITY

Probability of
Hardening

Thermaly Activated

Figure 6.15: Stochastic model for high temperatures. [35]


on ef f , a hardening probability

V = c1 exp

V kin
sign ef f
RT

ie

(6.22)

is formulated. This transition probability is based on the condition that thermal activation
of the dislocations can be taken as an empirical Arrhenius function. R is the gas constant
and c1 ; ; V are constants, which have to be determined by experiment. It can be seen
that the transition probability from a certain hardening state to the next higher decreases
with increasing hardening. Hardening is opposed by a recovering process according to:

E = c2 exp

F0
RT

|kin |
0

sinh

V kin
RT

(6.23)

which is thermally activated and not dependent on the external stress. The constants
c2 and m have also to be determined by experiment. The strength of the lattice distortions increases with increasing hardening. It supports the recovery process. Therefore,
the transition probabilities for recovery increase with increasing hardening. The model
simulates hardening and recovery by transitions of dislocations at a barrier strength kin,i
to higher barriers kin,i+1 and lower barriers kin,i1 : The probability that a flow unit
remains in the actual position is given by:
B =I V E
The transition probabilities of the model can be arranged in a stochastic matrix:

(6.24)

6.5. CONSTITUTIVE MODEL FOR THE PLASTICITY OF METALS

1 V1 E2

.
V1
B2 . .
0

V2 . . Ei

..
.
S=
. Bi . .

Vi . . Ek1

..

. Bk1
0
Ek

Vk1 1 Ek

145

(6.25)

The change of the structure, which is described by the state vector z, during one time
step t is given by the Markov chain:
z(t + t) = Sz(t)

(6.26)

For constant stress and temperature (homogeneous process), the state vector after n time
steps is given by z(t0 nt) = S n z(t0 ). The stochastic matrix given by Equation 6.25 can
be transformed to principal axes and yields then:

1 0 0 0

0 2 0 0
1

S = M SM =
..
. 0

0 0
0 0 0 n

(6.27)

where M is the modal matrix, i.e. the matrix of the column wise arranged eigenvectors
of the matrix S. Due to the fact that the maximal principal value of stochastic matrices
is 1 and all other eigenvalues have magnitudes < 1, it is visible that their magnitudes
decrease with increasing time, and the eigenvalue connected with the maximal eigenvalue
1 represents a stationary state. The other principal values are responsible for transient
processes.
An extension of the stochastic model, which allows for the simultaneous consideration of
the development of activation volume V and kinematic stress kin is given in Figure
6.16. Thus, isotropic and kinematic hardening spread a state plane, which allows that
with the distribution of the flow units, the state determined by both hardening types can
be considered. The transition probabilities for the description of the development of the
isotropic and kinematic hardening consider mutually the influences given by the other
hardening process.

146

CHAPTER 6. THEORY OF METAL PLASTICITY

Figure 6.16: Distribution function for kin and V = bA. [35]


By a mean value formulation, the stochastic model is transformed in a macroscopic continuum mechanical material model, which takes a form similar to other models given in
literature. This approach leads to a non-linear system of ordinary differential equations
for the inelastic strain , the kinematic back stress kin and the activation volume V :

ie =

F0
C exp( RT
)(

|ef f | n
)
0

V ef f
),
RT
|
| m
F0
exp( RT
)( kin
)
0

(6.28)

sinh(

kin = H exp( VRTkin signef f )ie R


V =
K1 V 2 |ie | + K2 V |ie |.

kin
sinh( VRT
),

(6.29)
(6.30)

The material behaviour is described by a relation for the inelastic strain rate, where the actual values for isotropic and kinematic hardening occur as internal variables. This general
form of the constitutive equations is also the basis for the development of a hierarchical
model classification. A concrete model must be chosen with respect to the intended application purpose. The values C, n, H, , R , m, K1 , K2 and V0 are material parameters,
which have to be determined by comparison with experimental results. The parameter
identification, which consists in integrating the non-linear, ordinary differential equations
for varying parameter sets and by appropriate optimisation methods to search for the
optimal parameter sets, deserves special recognition in aspect of the used mathematical
methods. An additional scaling of the functions like exp FR0 T1 T10
is necessary to
improve the parameter identifiability and the macroscopical interpretations.

6.6. EXERCISES

6.6

147

Exercises

Example 4.1
Consider an isotropic material, loaded so that the principal stresses coincide with the
x, y, andz axes of the material. Assume that the Tresca yield criterion applies. Make a
plot of the combinations of y versus x that will cause yielding with z = 0.
Solution
Divide the y versusx stress space into six sectors as shown in Figure 6.17.
The following conditions are appropriate:
1. x > y > z = 0, so 1 = x , 3 = z = 0, so x = Y
2. x > y > z = 0, so 1 = y , 3 = z = 0, so y = Y
3. y > z = 0 > x , so 1 = y , 3 = x , so y x = Y
4. z = 0 > y > x , so 1 = 0, 3 = x , so x = Y
5. z = 0 > x > y , so 1 = 0, 3 = y , so y = Y
6. x > z = 0 > y , so 1 = x , 3 = y , so x y = Y
It seems reasonable to incorporate the effect of the intermediate principal stress into the
yield criterion. One might try this by assuming that yielding depends on the average of the
diameters of the three Mohrs circles, [(1 2 )+(2 3 )+(1 3 )]/3, but the intermediate
stress term, 2 , drops out of the average: [(1 2 )+(2 3 )+(1 3 )]/3 = (2/3)(1 3 ).
Therefore an average diameter criterion reduces to the Tresca criterion.

Example 4.2
Consider an isotropic material loaded so that the principal stresses coincide with the x,
y, and z axes. Assuming the von Mises yield criterion applies, make a plot of y versus
x yield locus with z = 0.
Solution
Let x = 1 , y = 2 , and z = 0. Now = 2 /1 . Figure 6.18 results from
substituting several values of into Equation 6.12, solving for x /Y and / Y = x /Y ,
and then plotting.

148

CHAPTER 6. THEORY OF METAL PLASTICITY

Figure 6.17: Plot of the yield locus for the Tresca criterion for z = 0. The Tresca criterion
predicts that the intermediate principal stress has no effect on yielding. For
example, in sector I, the value of y has no effect on the value of x required
for yielding. Only if y is negative or if it is higher than x does it have an
influence. In these cases, it is no longer the intermediate principal stress.[19]

Figure 6.18: The Mises criterion with z = 0 plots as an ellipse.[19]

6.6. EXERCISES

149

Example 4.3
Show that the Tresca and von Mises criteria in the:
1. 1 2 space are respectively a hexagon and an ellipse, and in the:
2. 1 1 2 2 space are both ellipses.
Solution
(a) The general form of the Tresca criterion in the principal stress space is
[(1 2 )2 4k 2 ][(2 3 )2 4k 2 ][(3 1 )2 4k 2 ] = 0
Substitution of = 0 leads to
[(1 2 )2 4k 2 ][22 4k 2 ][12 4k 2 ] = 0

Figure 6.19: Tresca and von Mises Criteria on the plane. [19]

7 Fluid aspect in Constitutive


Material Modeling
7.1

Fluid Flows and their Significance

The most content of this chapter is based on the contents of the book Fluid Mechanics and
introduction to the theory of Fluid Flows by Prof. Franz Durst [14], further references
are [8], [15], and [26].
Flows occur in many fields of our natural and technical environment. Without fluid flows
life, as we know it, would not be possible on Earth, nor could technological processes run
in the form known to us and lead to the multitude of products which determine the high
standard of living that we nowadays take for granted.
Flows are therefore vital. Flows are everywhere and there are flow-dependent transport
processes that supply our body with the oxygen that is essential to life. In the blood
vessels of the human body, essential nutrients are transported by mass flows and are thus
carried to the cells, where they contribute, by complex chemical reactions, to the build-up
of our body and to its energy supply. Similarly to the significance of fluid flows for the
human body, the multitude of flows in the entire fauna and flora are equally important
(see Figure 7.1).
As further vital processes in our natural environment, flows in rivers, lakes and seas have
to be mentioned, and also atmospheric flow processes, whose influences on the weather
and thus on the climate of entire geographical regions is well known.
Other effects on our natural environment are the devastations that hurricanes and cyclones
can cause.
A large part of the energy generated in a combustion engine of a car is used, especially
when the vehicles run at high speed, to overcome the energy loss resulting from the
150

7.1. FLUID FLOWS AND THEIR SIGNIFICANCE

151

Figure 7.1: Flow processes occur in many ways in our natural environment, [34]
flow resistance which the vehicle experiences owing to the momentum loss and the flow
separations. Excellent work has been done in this area of fluid mechanics (see Figure 7.2),
e.g. in aerodynamics, where new aeroplane wing profiles and wing geometries as well as
wing body connections were developed which show minimal losses due to friction and
collision while maintaining the high lift forces necessary in aeroplane aerodynamics.
In the field of chemical engineering are many areas such as heat and mass transfer processes
and chemical reactions are influenced or rendered by flow processes. In this field of
engineering, it becomes particularly clear that much of the knowledge gained in the natural
sciences can be used technically only because it is possible to let processes run in a steady
and controlled way.
In many areas of chemical engineering, fluid flows are being used to make steady-state
processes possible and to guarantee the controllability of plants, i.e. flows are being employed in many places in process engineering. Often it is necessary to use flow media
whose properties deviate strongly from those of Newtonian fluids 1 , in order to optimize
1

Newtonian fluid is a fluid whose stress versus strain rate curve is linear and passes through the
origin. The constant of proportionality is known as the viscosity.

152

CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

Figure 7.2: Fluid flows are applied in many ways in our technical environment, [14]

processes, i.e. the use of non-Newtonian fluids2 or multi-phase fluids is necessary. The
selection of more complex properties of the flowing fluids in technical plants generally
leads to more complex flow processes, whose efficient employment is not possible without
detailed knowledge in the field of the flow mechanics of simple fluids, i.e. fluids with Newtonian properties. In a few descriptions in the present introduction to fluid mechanics,
the properties of non-Newtonian media are mentioned and interesting aspects of the flows
of these fluids are shown. The main emphasis of this book lies, however, in the field of
the flows of Newtonian media. As these are of great importance in many applications,
their special treatment in this book is justified.

Newtonian fluid is a fluid whose flow properties are not described by a single constant value of
viscosity. Many polymer solutions and molten polymers are non-Newtonian fluids, such as ketchup,
starch suspensions, paint, blood and shampoo. In a non-Newtonian fluid, the relation between the shear
stress and the strain rate is nonlinear and might be time and or velocitydependent.

7.2. SOLIDS AND FLUIDS

7.2

153

Solids and Fluids

All substances of our natural and technical environment can be subdivided into solid,
liquid and gaseous media, on the basis of their state of aggregation. This subdivision is
accepted in many fields of engineering in order to reveal important differences concerning
the properties of the substances. This subdivision could also be applied to fluid mechanics,
but, it would not be particularly advantageous. It is rather recommended to employ fluid
mechanics aspects to achieve a subdivision of media, i.e. a subdivision appropriate for the
treatment of fluid flow processes. To this end, the term fluid is introduced for designating
all those substances that cannot be classified clearly as solids.
Hence, from the point of view of fluid mechanics, all media can be subdivided into solids
and fluids, the difference between the two groups being that solids possess elasticity as
an important property, whereas fluids have viscosity as a characteristic property.
When external shear forces are imposed on fluids, they react with the buildup of velocity
gradients, where the build-up of the gradient results via a moleculedependent momentum
transport, i.e. momentum transport through fluid viscosity. Thus elasticity (solids) and
viscosity (liquids) are the properties of matter that are employed in fluid mechanics for
subdividing media.
However, there are a few exceptions to this subdivision, such as in the case of some of
the materials in rheology exhibiting mixed properties. They are therefore referred to as
visco-elastic media. Some of them behave such that for small deformations they behave
like solids and for large deformations they behave like liquids.
A fluid tries to evade the smallest external shear stresses by starting to flow. Hence it
can be inferred from this that a fluid at rest is characterized by a state which is free of
external shear stresses. Each area in a fluid at rest is therefore exposed to normal stresses
only (Hydrostatic Case).
The viscous (or the molecular) transport of momentum observed in a fluid, should not
be mistaken to be similar to the elastic forces in solids. The viscous forces cannot even
be analogously addressed as elastic force. This is the case for all liquids and gases as the
two important subgroups of fluids which take part in the fluid motions considered here.
Hence the present work is dedicated to the treatment of fluid flows of liquids and gases.
On the basis of these explanations of fluid flows, the fluids in motion can simply be seen
as media free from stresses and are therefore distinguished from solids.
The shear stresses that are often introduced when treating fluid flows of common liquids
and gases represent molecule-dependent momentumtransport terms in reality. Neighbor-

154

CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

ing layers of a flowing fluid, having a velocity gradient between them, do not interact with
each another through shear stresses but through an exchange of momentum due to the
molecular motion between the layers.
This can be explained by simplified derivations aiming for a clear physical understanding
of the molecular processes, as stated in the Section 7.3. The derivations presented below
are carried out for an ideal gas, since they can be understood particularly well for this
case of fluid motion. The results from these derivations therefore cannot be transferred
in all aspects to fluids with more complex properties.
For further subdivision of fluids, it is recommended to make use of their response to
normal stresses (or pressure) acting on fluid elements. When a fluid element reacts to
pressure changes by adjusting its volume and consequently its density, the fluid is called
compressible. When no volume or density changes occur with pressure or temperature,
the fluid is regarded as incompressible although, strictly, incompressible fluids do not
exist. Indeed, this subdivision mainly distinguishes liquids from gases.
Liquids and some plastic materials show very small expansion coefficients (typical values
for isobaric expansion are p = 10 106 K 1 ), whereas gases have much larger expansion
coefficients (typical values are p = 1.000106 K 1 ). A comparison of the two subgroups
of fluids shows that liquids fulfill the condition of incompressibility with a precision that
is adequate for the treatment of most flow problems. Based on the assumption of incompressibility, the basic equations of fluid mechanics can be simplified, as the following
derivations (Section 7.3) show; in particular, the number of equations needed for the
general description of fluid flow processes is reduced from 6 to 4. This simplification of
the basic equations for incompressible fluid flows allows a considerable reduction in the
complexity of the requested theoretical treatments for simple and complex geometries,
e.g. in the case of problems without heat transfer the energy equation does not have to
be solved.
The simplified basic equations of fluid mechanics, derived for incompressible media, can
occasionally also be applied to flows of compressible fluids, such for cases where the density
variations, occurring in the entire flow field, are small compared with the fluid density.
For further characterization of a fluid, reference is made to the wellknown fact that solids
conserve their form, whereas a fluid volume has no form of its own, but takes the form
of the container in which it is kept. Liquids differ from gases in terms of the available
volume taken by the fluids, filling only part of the container, whereas the remaining part
is either not filled or contains a gas and there exists a free surface between liquid and the

7.3. BASIC EQUATIONS OF FLUID MECHANICS

155

gas. Such a surface does not exist when the container is filled only with a gas. As already
said, a gas takes up the entire container volume.
Finally, it can be concluded that there are a number of media that can only be categorized,
in a limited way, according to the above classification. They include media that consist of
two-phase mixtures. These have properties that cannot be classified easily, and will not
be described here.

7.3

Basic Equations of Fluid Mechanics

7.3.1

Mass Conservation (Continuity Equation)

For fluid mechanics considerations, a closed fluid system can always be found or is assumed, i.e. a system whose total mass M = constant. This is easily seen for a fluid mass,
which is stored in a container. For all other fluid flow

Figure 7.3: Different fluid flow cases within control volumes for which M = constant can
be set, [14]
considerations, as shown in Figure 7.3, control volumes can always be defined within which
the systems total mass can be stated as constant. If necessary these control volumes can
comprise the whole earth to reach M = constant. When one subdivides the fluid mass
M within the considered system into fluid elements with sub-masses m , then for the
temporal change of the total mass one obtains:

0=

d
dM
=
dt

(m )
=
dt

(m )
dt

(7.1)

156

CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

This equation expresses that the total mass conservation in the control volume of the fluid
system is preserved when each individual fluid element conserves its mass m . With this
the balance equation for the mass conservation can be stated as follows, in Lagrange
notation:
(m )
dt

(7.2)

and so with some mathematical formulation the continuity equation holds in one of the
following two forms:

Ui
+
=0
t
xi
Ui
=0
xi

7.3.2

(Compressible Flows)

(7.3)

(Incompressible Flows)

(7.4)

Newtons Second Law

The derivations of the momentum equations of fluid mechanics are usually given for the
three coordinate directions j = 1, 2, 3. They express Newtons second law and are
easiest formulated in their Lagrange forms. For a fluid element, it is stated that the
time derivative of the momentum in the j direction is equal to the sum of the external
forces acting in this direction on the fluid element, plus the molecular-dependent input of
momentum per unit time. For the viscous and ideal fluids the momentum equations can
be stated:
Uj
Uj
P ij
+ Ui
)=

+ gj
t
xi
xj
xi
P
Uj
Uj
(
+ Ui
)=
+ gj
t
xi
xj

7.3.3

(Viscous Fluids)

(7.5)

(Ideal Fluids)

(7.6)

The NavierStokes Equations

These equations are useful because they describe the physics of many things of academic
and economic interest. They may be used to model the weather, ocean currents, water
flow in a pipe, air flow around a wing, and motion of stars inside a galaxy. The Navier
Stokes equations in their full and simplified forms help with the design of aircraft and
cars, the study of blood flow, the design of power stations, the analysis of pollution, and

7.3. BASIC EQUATIONS OF FLUID MECHANICS

157

many other things. Coupled with Maxwells equations they can be used to model and
study magnetohydrodynamics.
The NavierStokes equations are also of great interest in a purely mathematical sense.
Somewhat surprisingly, given their wide range of practical uses, mathematicians have not
yet proven that in three dimensions solutions always exist (existence), or that if they do
exist, then they do not contain any singularity (or infinity or discontinuity) (smoothness).
These are called the NavierStokes existence and smoothness problems. The Clay
Mathematics Institute has called this one of the seven most important open problems
in mathematics and has offered a US 1.000.000 dollar prize for a solution or a counterexample.

Figure 7.4: Visual aspekt of navier stockes equation, [34]


The NavierStokes equations dictate not position but rather velocity. A solution of the
NavierStokes equations is called a velocity field or flow field, which is a description of
the velocity of the fluid at a given point in space and time. Once the velocity field is solved
for, other quantities of interest (such as flow rate or drag force) may be found. This is
different from what one normally sees in classical mechanics, where solutions are typically
trajectories of position of a particle or deflection of a continuum. Studying velocity
instead of position makes more sense for a fluid, however for visualization purposes one
can compute various trajectories. For = constant and = constant the Navier Stokes
equations can be described as:
(

Uj
Uj
P 2 Uj
+ Ui
)=
2
+ gj
t
xi
xj
xi

(j = 1, 2, 3)

(7.7)

This system of equations comprises four equations for the four unknowns P, U1 , U2 , U3 .
In principle, it can be solved for all flow problems to be investigated if suitable initial and

158

CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

boundary conditions are given. For thermodynamically ideal liquids, i.e. = constant,
a complete system of partial differential equations exists through the continuity equation
and the momentum equations, which can be used for solutions of flow problems.
Properties
Nonlinearity The NavierStokes equations are nonlinear partial differential equations
in almost every real situation. In some cases, such as onedimensional flow and Stokes
flow (or creeping flow), the equations can be simplified to linear equations. The nonlinearity makes most problems difficult or impossible to solve and is the main contributor
to the turbulence that the equations model.
The nonlinearity is due to convective acceleration, which is an acceleration associated
with the change in velocity over position. Hence, any convective flow, whether turbulent
or not, will involve nonlinearity, an example of convective but laminar (nonturbulent)
flow would be the passage of a viscous fluid (for example, oil) through a small converging
nozzle. Such flows, whether exactly solvable or not, can often be thoroughly studied and
understood.
Turbulence Turbulence is the time dependent chaotic behavior seen in many fluid flows.
It is generally believed that it is due to the inertia of the fluid as a whole: the culmination
of time dependent and convective acceleration; hence flows where inertial effects are small
tend to be laminar (the Reynolds number quantifies how much the flow is affected by
inertia). It is believed, though not known with certainty, that the NavierStokes
equations describe turbulence properly.
The numerical solution of the NavierStokes equations for turbulent flow is extremely
difficult, and due to the significantly different mixing-length scales that are involved in
turbulent flow, the stable solution of this requires such a fine mesh resolution that the
computational time becomes significantly infeasible for calculation. Attempts to solve
turbulent flow using a laminar solver typically result in a time-unsteady solution, which
fails to converge appropriately. To counter this, time-averaged equations such as the
Reynolds-AveragedNavier-Stokes equations (RANS), supplemented with turbulence
models (such as the k-e model), are used in practical computational fluid dynamics (CFD)
applications when modeling turbulent flows. Another technique for solving numerically
the NavierStokes equation is the Large-eddy simulation (LES). This approach is computationally more expensive than the RANS method (in time and computer memory),
but produces better results since the larger turbulent scales are explicitly resolved.
Applicability Together with supplemental equations (for example, conservation of mass)
and well formulated boundary conditions, the NavierStokes equations seem to model

7.3. BASIC EQUATIONS OF FLUID MECHANICS

159

fluid motion accurately; even turbulent flows seem (on average) to agree with real world
observations.
The NavierStokes equations assume that the fluid being studied is a Continuum not
moving at relativistic velocities. At very small scales or under extreme conditions, real
fluids made out of discrete molecules will produce results different from the continuous
fluids modeled by the NavierStokes equations. Depending on the Knudsen number
of the problem, statistical mechanics or possibly even molecular dynamics may be a more
appropriate approach.
Another limitation is very simply the complicated nature of the equations. Time tested
formulations exist for common fluid families, but the application of the NavierStokes
equations to less common families tends to result in very complicated formulations which
are an area of current research. For this reason, the NavierStokes equations are
usually written for Newtonian fluids.
Example
The NavierStokes equations, even when written explicitly for specific fluids, are rather
generic in nature and their proper application to specific problems can be very diverse.
This is partly because there is an enormous variety of problems that may be modeled,
ranging from as simple as the distribution of static pressure to as complicated as multiphase flow driven by surface tension.
Generally, application to specific problems begins with some flow assumptions and initial/boundary condition formulation, this may be followed by scale analysis to further
simplify the problem. For example, after assuming steady, parallel, one dimensional,
nonconvective pressure driven flow between parallel plates, the resulting scaled (dimensionless) boundary value problem is:
d2 u
= 1;
dy 2

u(0) = u(1) = 0

(7.8)

The boundary condition is the no slip condition. This problem is easily solved for the
flow field:

u(y) =

y y2
2

(7.9)

From this point onward more quantities of interest can be easily obtained, such as viscous
drag force or net flow rate.

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CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

Difficulties may arise when the problem becomes slightly more complicated. A seemingly
modest twist on the parallel flow above would be the radial flow between parallel plates;
this involves convection and thus nonlinearity. The velocity field may be represented by
a function f (z) that must satisfy:

df
+ Rf 2 = 1; f (1) = f (1) = 0
dz 2

(7.10)

This ordinary differential equation is what is obtained when the NavierStokes equations are written and the flow assumptions applied (additionally, the pressure gradient is
solved for). The nonlinear term makes this a very difficult problem to solve analytically
(a lengthy implicit solution may be found which involves elliptic integrals and roots of
cubic polynomials). Issues with the actual existence of solutions arise for R > 1.41 (approximately. This is not the square root of two), the parameter R being the Reynolds
number3 with appropriately chosen scales. This is an example of flow assumptions losing
their applicability, and an example of the difficulty in high Reynolds number flows.
3

Reynolds number can be defined for a number of different situations where a fluid is in relative
motion to a surface (the definition of the Reynolds number is not to be confused with the Reynolds
Equation or lubrication equation). These definitions generally include the fluid properties of density and
viscosity, plus a velocity and a characteristic length or characteristic dimension. This dimension is a
matter of convention - for example a radius or diameter are equally valid for spheres or circles, but one
is chosen by convention. For aircraft or ships, the length or width can be used. For flow in a pipe or a
sphere moving in a fluid the internal diameter is generally used today. Other shapes (such as rectangular
pipes or non-spherical objects) have an equivalent diameter defined. For fluids of variable density (e.g.
compressible gases) or variable viscosity (non-Newtonian fluids) special rules apply. The velocity may
also be a matter of convention in some circumstances, notably stirred vessels.
Re =

V L
VL
QL
=
=

(7.11)

where:
V is the mean fluid velocity (SI units: m
s )
L is a characteristic linear dimension, (traveled length of fluid, or hydraulic radius when dealing with
river systems) (m)
is the dynamic viscosity of the fluid (Pas or N s/m2 or kg/ms)
is the kinematic viscosity ( = /)(m2 /s)
is the density of the fluid (kg/m3 )
Q is the volumetric flow rate (m3 /s)
A is the pipe cross-sectional area (m2 ).

7.3. BASIC EQUATIONS OF FLUID MECHANICS

161

Figure 7.5: Visualization of : a) parallel flow and b) radial flow, [14]

7.3.4

Mechanical Energy Equation

A special form of the mechanical energy equation is the Bernoulli equation, which can be
derived from the general form of the mechanical energy equation:
d( 12 Uj2 + G)
P
ij

=
Uj
dt
xj
xi U j
For ij = 0 and

P
t

(7.12)

= 0and also = const we will have :


1 2 P
U + + G = const
2 j

(7.13)

This form of the mechanical energy equation can be employed in many engineering applications to solve flow problems in an engineering manner.

7.3.5

Thermal Energy Equation

When one sets up the energy equation with the total energy balance, the considerations
stated below result, which start from the entire internal, the kinetic and the potential
energies of a fluid element and consider its evolution as a function of time:

de
Uj
q .
Uj
= i P
ij
dt
xi
xj
xi
I

II

III

IV

(7.14)

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CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

Term
Term
Term
Term

I
II
III
IV

7.4

Temporal change of the internal energy of a fluid per unit volume.


Heat supply per unit time and unit area.
Expansion work done per unit volume and unit time.
Irreversible transfer of mechanical energy into heat, per unit volume and
unit time.

Energy

Energy is the capacity to do work and transfer heat. Work is performed when an object
or substance is moved over some distance. Energy is needed to carry out processes, such
as boiling water or burning candles. Energy is also the heat that flows from a hot object
or substance to a cold one, when they come in contact. A clear example of this is the
fact that water heats up when you put in a water boiler device. Energy has many forms,
such as light, heat, electricity, chemical energy (stored in chemical bonds) and mechanical
energy (moving matter, such as flowing water).
All energy forms are divided up between two main kinds of energy. The first main kind
of energy is kinetic energy, the energy of motion and action. Heat is a total of kinetic
energy of atoms, ions or molecules. When these chemical compounds are in motion due
to kinetic energy they will warm up. You cannot always detect heat that originates from
kinetic energy, because sometimes the heat of a substance can rise without an additional
rise in temperature. The second main kind of energy is potential energy, energy that
is stored and potentially available for use. Before potential energy can be used it is
transferred into kinetic energy. An example of an object containing merely potential
energy is a dice that you hold in your hand. When you throw the dice the potential
energy is transferred into kinetic energy and this will cause the movement.
Hydroelectric Power Hydroelectric power is electricity that is supplied by generating
energy from falling or streaming water (Figure 7.10). Hydroelectric power is a socalled
renewable energy source. This means that the source, which provides the energy, can be
renewed. This is because, unlike non-renewable energy sources such as crude oil, we will
not run out of water fully. It can be renewed after we have used it for energy generation.
Hydroelectric Power Plant A hydroelectric power plant consists of a high dam that is
built across a large river to create a reservoir, and a station where the process of energy
conversion to electricity takes place (Figure 7.6).
The run-off flows to dams downstream. The water falls through a dam, into the hydropower plant and turns a large wheel called a turbine. The turbine converts the energy

7.4. ENERGY

163

Figure 7.6: Hydroelectric power plant with dam, [34]


of falling water into mechanical energy to drive the generator. It turns a shaft, which
rotates a number of magnets in the generator. When the magnets pass copper coils a
magnetic field is created, which aids the production of electricity.

7.4.1

Turbine

A turbine is a rotary engine that extracts energy from a fluid or air flow and converts it
into useful work. The simplest turbines have one moving part, a rotor assembly, which is
a shaft or drum, with blades attached (Figure 7.7). Moving fluid acts on the blades, or
the blades react to the flow, so that they move and impart rotational energy to the rotor.
Early turbine examples are windmills and water wheels.

7.4.2

Theory of Operation

A working fluid contains potential energy (pressure head) and kinetic energy (velocity
head). The fluid may be compressible or incompressible. Several physical principles are
employed by turbines to collect this energy:
Impulse turbines (Figure 7.9) These turbines change the direction of flow of a high
velocity fluid or gas jet. The resulting impulse spins the turbine and leaves the fluid flow

164

CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

Figure 7.7: Water Turbine, Geometry Example, [34]


with diminished kinetic energy (Figure 7.8). There is no pressure change of the fluid
or gas in the turbine rotor blades (the moving blades), as in the case of a steam or gas
turbine, all the pressure drop takes place in the stationary blades (the nozzles).

Figure 7.8: Navier-Stokes CFD of separated flows in a launcher nozzle, [13]


Before reaching the turbine, the fluids pressure head is changed to velocity head by
accelerating the fluid with a nozzle. Pelton wheels and de Laval turbines use this process
exclusively. Impulse turbines do not require a pressure casement around the rotor since
the fluid jet is created by the nozzle prior to reaching the blading on the rotor. Newtons
second law describes the transfer of energy for impulse turbines.
Reaction turbines (Figure 7.9) These turbines develop torque by reacting to the gas

7.4. ENERGY

165

or fluids pressure or mass. The pressure of the gas or fluid changes as it passes through
the turbine rotor blades. A pressure casement is needed to contain the working fluid as it
acts on the turbine stage(s) or the turbine must be fully immersed in the fluid flow (such
as with wind turbines).
The casing contains and directs the working fluid and, for water turbines, maintains
the suction imparted by the draft tube. Francis turbines and most steam turbines use
this concept. For compressible working fluids, multiple turbine stages are usually used to
harness the expanding gas efficiently. Newtons third law describes the transfer of energy
for reaction turbines. In the case of steam turbines, such as would be used for marine
applications or for land-based electricity generation, a Parsons type reaction turbine would
require approximately double the number of blade rows as a de Laval type impulse turbine,
for the same degree of thermal energy conversion. Whilst this makes the Parsons turbine
much longer and heavier, the overall efficiency of a reaction turbine is slightly higher than
the equivalent impulse turbine for the same thermal energy conversion.

Figure 7.9: Reaction and Impluse Turbine, [8]


Steam turbines and later, gas turbines developed continually during the 20th Century,
continue to do so and in practice, modern turbine designs will use both reaction and
impulse concepts to varying degrees whenever possible. Wind turbines use an airfoil to

166

CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

generate lift from the moving fluid and impart it to the rotor (this is a form of reaction).
Wind turbines also gain some energy from the impulse of the wind, by deflecting it at an
angle.
Crossflow turbines are designed as an impulse machine, with a nozzle, but in low head
applications maintain some efficiency through reaction, like a traditional water wheel.
Turbines with multiple stages may utilize either reaction or impulse blading at high pressure. Steam Turbines were traditionally more impulse but continue to move towards
reaction designs similar to those used in Gas Turbines. At low pressure the operating
fluid medium expands in volume for small reductions in pressure. Under these conditions
(termed Low Pressure Turbines) blading becomes strictly a reaction type design with the
base of the blade solely impulse. The reason is due to the effect of the rotation speed
for each blade. As the volume increases, the blade height increases, and the base of the
blade spins at a slower speed relative to the tip. This change in speed forces a designer
to change from impulse at the base, to a high reaction style tip.

Figure 7.10: Water Turbine, [34]


Classical turbine design methods were developed in the mid 19th century. Vector analysis
related the fluid flow with turbine shape and rotation. Graphical calculation methods were
used at first. Formulae for the basic dimensions of turbine parts are well documented and
a highly efficient machine can be reliably designed for any fluid flow condition. Some
of the calculations are empirical or rule of thumb formulae, and others are based on
classical mechanics. As with most engineering calculations, simplifying assumptions were
made.
Velocity triangles can be used to calculate the basic performance of a turbine stage. Gas

7.4. ENERGY

167

exits the stationary turbine nozzle guide vanes at absolute velocity Va1 . The rotor rotates
at velocity U . Relative to the rotor, the velocity of the gas as it impinges on the rotor
entrance is Vr1 . The gas is turned by the rotor and exits, relative to the rotor, at velocity
Vr2 . However, in absolute terms the rotor exit velocity is Va2 . The velocity triangles are
constructed using these various velocity vectors. Velocity triangles can be constructed
at any section through the blading (for example: hub , tip, midsection and so on) but
are usually shown at the mean stage radius. Mean performance for the stage can be
calculated from the velocity triangles, at this radius, using the Euler equation:

whence:

h = u.w

(7.15)

u
w
h
= ( ).( )
T
T
T

(7.16)

where:
h
T
u
w

specific enthalpy drop across stage


turbine entry total (or stagnation) temperature
turbine rotor peripheral velocity
change in whirl velocity

The turbine pressure ratio is a function of

h
and
T

the turbine efficiency.

Commonly we know different kind of water turbines:


Pelton turbine, a type of impulse water turbine, Figure 7.11 (a).
Francis turbine, a type of widely used water turbine, Figure 7.11 (b).
Kaplan turbine, a variation of the Francis Turbine, Figure 7.11 (c).
Negative Pressure
To increase the degree of efficiency of the turbines the idea of using the effect of low pressure or negative pressure for powering the blades are introduced by Victor Schauberger[30]
in the early 20th century. There are less existing machines yet, some people are working
with the ideas of increasing the efficiency of the water flow trough the turbines. The main
effect could be the ordering of water molecules which lead to higher flow and increased
mass flow, see Figure 7.12 and Figure 7.13. This leads to NanoScale consideration of the
flow problem, which is not yet implemented in Simulation code. To find a more accurate
description of fluid flow material model will be one of the most challenging research topics
for the near future.

168

CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

(a) Pelton schematic view

(b) Pelton inside wiew

(c) Francis model inside view

(d) Francis model outside view

(e) Kaplan schematic diagram for flow conditions

(f) Kaplan view of manufacturing

Figure 7.11: Different types of water driven Turbines, [34]

7.5. FLUIDSTRUCTURE INTERACTION

169

(a) Crosssection and Top View at dif- (b) Flow Channel and Collision of
ferent layers
Molecules

Figure 7.12: Fluid Turbine Design with using negative pressure effects: Accelerated Nozzle (High Speed Flow); Inlet at bottom, Outlet at top; Orange cone is rotating [17]

(a) Negative Pressure Ring Tur- (b) Geometry for Negative Presbine (Ring Wirbel Motor)
sure Pump (Sog Pumpe)

Figure 7.13: Examples of different Turbine Geometries, for including negative pressure
effects, [17]

7.5

FluidStructure Interaction

FluidStructure interaction (FSI) is the interaction of some movable or deformable structure with an internal or surrounding fluid flow[1]. FluidStructure interactions can be

170

CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

stable or oscillatory. In oscillatory interactions, the strain induced in the solid structure
causes it to move such that the source of strain is reduced, and the structure returns to
its former state only for the process to repeat.

7.5.1

Basic Idea

Consider the two-way interaction of two scalar fields, X and Y , sketched in Figure 7.14.
Each field has only one state variable identified as x(t) and y(t), respectively, which are
assumed to be governed by the first-order differential equations
3x. + 4x y = f (t)
y . + 6y 2x = g(t)
in which f (t) and g(t) are the applied forces. Treat this by Backward Euler integration4
in each component:
xn+1 = xn + hx.n+1
.
yn+1 = yn + hyn+1

where xn = x(tn ) and yn = y(tn ), etc. at each time step n = 0, 1, 2, . . . we get


3 + 4h
h
2h 1 + 6h

xn+1
hfn+1 + 3xn
=
yn+1
hgn+1 + yn

(7.17)

in which x0 , y0 are provided by the initial conditions. In the monolithic or simultaneous


solution approach, Equation (7.17) is solved at each timestep.

Figure 7.14: Interaction of two scalar fields


4

backward Euler method is an implicit method, meaning that we have to solve an equation to find
yn+1 . One often uses fixed point iteration or (some modification of) the NewtonRaphson method to
achieve this.

7.5. FLUIDSTRUCTURE INTERACTION

171

Examples
FluidStructure interactions are a crucial consideration in the design of many engineering
systems, e.g. aircrafts and bridges. Failing to consider the effects of oscillatory interactions
can be catastrophic, especially in structures comprising materials susceptible to fatigue.
Tacoma Narrows Bridge (1940), the first Tacoma Narrows Bridge, is probably one of
the most infamous examples of large-scale failure. Aircraft wings and turbine blades can
break due to FSI oscillations. Fluid-structure interaction has to be taken into account
for the analysis of aneurysms in large arteries and artificial heart valves. A reed actually
produces sound because the system of equations governing its dynamics has oscillatory
solutions. The dynamic of reed valves used in two strokes engines and compressors is
governed by FSI. The act of blowing a raspberry is another such example.

(a) Exhaust Manifold

(b) Aerodynimic Helmet Design; FEMModel

Figure 7.15: Examples for Flow: FluidStructure Interaction, [1]


Analysis of a Hydraulic Turbine
Much effort is being made to develop efficient and cost-effective renewable energy solutions. In conventional hydropower, as well as in the more recent quest to harness the
energy from waves and tides, well designed turbomachinery is essential. We feature the

172

CHAPTER 7. FLUID ASPECT IN CONSTITUTIVE MATERIAL MODELING

analysis of a new hydraulic turbine design to power a generator providing between 1.0
and 1.2 kW for remote dwellings not connected to an electrical supply grid. The analysis
was performed by SIMTEC S.A. using ADINA [1].
In the analysis, the turbine was modeled to determine its characteristic curves of torque
and power vs. rotational speed. The figures 7.16 are provided to give an idea of the
general trend of the results.
Figure 7.16(a) shows the geometry of the turbine. The finite element mesh used is shown
in Figure 7.16(b), the results of flow simulation are schown in Figure 7.16(c) and (d) as
radial and tangential velocity in colored plots.

(a) Schematic picture of the turbine, two views

(b) Turbine mesh, different surfaces

(c) Relative radial velocity band plot along edge of (d) Relative tangential velocity band plot along
blade
edge of blade

Figure 7.16: Turbine: Geometry, FEMMesh and Results at blade, [1]

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